Upper Level·T14 #4·Chicago, Illinois

Securities Regulation at UChicago Law

Securities Regulation covers the federal laws governing the issuance and trading of securities. Students study the Securities Act of 1933, the Securities Exchange Act of 1934, SEC enforcement, and private securities litigation.

Key Topics in Securities Regulation

Definition of a security (Howey test)

Registration requirements under the Securities Act

Exemptions from registration (Reg D, Reg A, Rule 144)

Section 10(b) and Rule 10b-5 (fraud)

Insider trading

Proxy solicitation and shareholder proposals

SEC enforcement actions

Private rights of action

Tender offers and takeover regulation

Sarbanes-Oxley and Dodd-Frank

Key Questions in Securities Regulation

Is this instrument a security under the Howey test?

Does this transaction qualify for a registration exemption?

Has there been a material misstatement or omission?

Does the plaintiff have standing for a 10b-5 action?

Study Tools for Securities at UChicago Law

AI Case Brief Generator

Generate comprehensive briefs for any Securities Regulation case in 30 seconds

Gunner Mode

Practice Securities cold calls with AI-powered Socratic questioning

Flashcard Generator

Create targeted Securities flashcards from any case brief

Cold Call Prep

Get ready for Securities class with quick case summaries

Attack Sheet Generator

Build Securities attack sheets for exam day

Exam Question Generator

Practice with AI-generated Securities exam hypotheticals

More Courses at UChicago Law

Securities Regulation at Other Illinois Law Schools

Ace Securities at UChicago Law

Join thousands of law students using Briefly to generate case briefs, practice cold calls, create flashcards, and prep for exams. All 20+ tools, one subscription.

3-day free trial, then $9.99/month. Cancel anytime.