日本語 English
| 開講年度/ Academic YearAcademic Year |
20242024 |
| 科目設置学部/ CollegeCollege |
法学部/College of Law and PoliticsCollege of Law and Politics |
| 科目コード等/ Course CodeCourse Code |
EX462/EX462EX462 |
| テーマ・サブタイトル等/ Theme・SubtitleTheme・Subtitle |
Introduction to U.S. Securities Regulation |
| 授業形態/ Class FormatClass Format |
対面（全回対面）/Face to face (all classes are face-to-face)Face to face (all classes are face-to-face) |
| 授業形態（補足事項）/ Class Format (Supplementary Items)Class Format (Supplementary Items) |
|
| 授業形式/ Class StyleCampus |
講義/LectureLecture |
| 校地/ CampusCampus |
池袋/IkebukuroIkebukuro |
| 学期/ SemesterSemester |
秋学期/Fall semesterFall semester |
| 曜日時限・教室/ DayPeriod・RoomDayPeriod・Room |
火2/Tue.2 Tue.2 ログインして教室を表示する（Log in to view the classrooms.） |
| 単位/ CreditsCredits |
22 |
| 科目ナンバリング/ Course NumberCourse Number |
LPX3201 |
| 使用言語/ LanguageLanguage |
英語/EnglishEnglish |
| 履修登録方法/ Class Registration MethodClass Registration Method |
科目コード登録/Course Code RegistrationCourse Code Registration |
| 配当年次/ Assigned YearAssigned Year |
配当年次は開講学部のR Guideに掲載している科目表で確認してください。配当年次は開講学部のR Guideに掲載している科目表で確認してください。 |
| 先修規定/ Prerequisite RegulationsPrerequisite Regulations |
|
| 他学部履修可否/ Acceptance of Other CollegesAcceptance of Other Colleges |
履修登録システムの『他学部・他研究科履修不許可科目一覧』で確認してください。 |
| 履修中止可否/ Course CancellationCourse Cancellation |
〇（履修中止可/ Eligible for cancellation） |
| オンライン授業60単位制限対象科目/ Online Classes Subject to 60-Credit Upper LimitOnline Classes Subject to 60-Credit Upper Limit |
|
| 学位授与方針との関連/ Relationship with Degree PolicyRelationship with Degree Policy |
各授業科目は、学部・研究科の定める学位授与方針（DP）や教育課程編成の方針（CP）に基づき、カリキュラム上に配置されています。詳細はカリキュラム・マップで確認することができます。 |
| 備考/ NotesNotes |
The US securities regulation is the essential knowledge when participants would engage in the international businesses in the future, such as cross-border M&A and cross-border securities issuance. Understanding an overview of U.S. securities regulation and deepening knowledge about global financial and capital markets are the objectives of this lecture.
In this lecture, participants are expected to understand the market structure and the framework of securities regulation in the U.S. through reading the specified textbook. In addition, practical applications and court cases of the U.S. securities regulation will be analyzed,
| 1 | Introduction |
| 2 | Overview of Securities Markets and Regulation |
| 3 | Definition of Security |
| 4 | Registration of Securities Offerings |
| 5 | Exemptions from Securities Act Registration |
| 6 | Securities Act Liability |
| 7 | Regulation of Securities Trading Markets |
| 8 | Regulation of Public Companies |
| 9 | Proxies and Tender Offers |
| 10 | Rule 10b-5 |
| 11 | Insider Trading |
| 12 | Regulation of Brokers, Dealers, and Investment Advisors |
| 13 | Public Enforcement |
| 14 | U.S. Regulation of Cross-Border Securities Transactions |
板書 /Writing on the Board
スライド（パワーポイント等）の使用 /Slides (PowerPoint, etc.)
上記以外の視聴覚教材の使用 /Audiovisual Materials Other than Those Listed Above
個人発表 /Individual Presentations
グループ発表 /Group Presentations
ディスカッション・ディベート /Discussion/Debate
実技・実習・実験 /Practicum/Experiments/Practical Training
学内の教室外施設の利用 /Use of On-Campus Facilities Outside the Classroom
校外実習・フィールドワーク /Field Work
上記いずれも用いない予定 /None of the above
| 補足事項 (Supplementary Items) |
|---|
| The teaching methods may change depending on the number of participants and other circumstances. |
Participants are expected to read specified section of the textbook before classes.
| 種類 (Kind) | 割合 (%) | 基準 (Criteria) |
|---|---|---|
| 平常点 (In-class Points) | 100 |
Submissions instructed in class(40%) 中間レポート（Mid-term Report)(30%) 最終レポート(Final Report)(30%) |
| 備考 (Notes) | ||
| No | 著者名 (Author/Editor) | 書籍名 (Title) | 出版社 (Publisher) | 出版年 (Date) | ISBN/ISSN |
|---|---|---|---|---|---|
| 1 | Alan R. Palmiter | Examples & Explanations for Securities Regulation (Examples & Explanations Series) 8th Edition | ASPEN Publishing | 2021 | 9781543807684 |
| その他 (Others) | |||||
| Handouts will be distributed for each session. | |||||
| No | 著者名 (Author/Editor) | 書籍名 (Title) | 出版社 (Publisher) | 出版年 (Date) | ISBN/ISSN |
|---|---|---|---|---|---|
| 1 | 黒沼 悦郎 | 『アメリカ証券取引法 (アメリカ法ベーシックス)（第２版）』 | 弘文堂 | 2004 | 9784335301094 |
| 2 | 山本 雅道 | 『アメリカ証券取引法入門―基礎から学べるアメリカのビジネス法（改訂版）』 | 第一法規 | 2019 | 9784474067615 |
Participants are not required to have specific level of English nor background knowledge but are expected to have strong curiosity in learning each topic.
The order of course schedule may change depending on the progress of the lecture. Other themes may be taken up in view of the progress of current events.
米国の証券取引法を始めとする証券規制は、クロスボーダーのM＆Aやグローバルな証券発行を含めた国際的なビジネスに携わるにあたって必須の知識である。米国証券規制の概観を理解し、グローバルな金融・資本市場に関する知見を深めることが目標である。
The US securities regulation is the essential knowledge when participants would engage in the international businesses in the future, such as cross-border M&A and cross-border securities issuance. Understanding an overview of U.S. securities regulation and deepening knowledge about global financial and capital markets are the objectives of this lecture.
本演習では、英語テキストを参照しながら、米国の市場構造や米国の証券規制の全体像を理解する。あわせて、具体的な適用事例や判例について分析を行う。
In this lecture, participants are expected to understand the market structure and the framework of securities regulation in the U.S. through reading the specified textbook. In addition, practical applications and court cases of the U.S. securities regulation will be analyzed,
| 1 | Introduction |
| 2 | Overview of Securities Markets and Regulation |
| 3 | Definition of Security |
| 4 | Registration of Securities Offerings |
| 5 | Exemptions from Securities Act Registration |
| 6 | Securities Act Liability |
| 7 | Regulation of Securities Trading Markets |
| 8 | Regulation of Public Companies |
| 9 | Proxies and Tender Offers |
| 10 | Rule 10b-5 |
| 11 | Insider Trading |
| 12 | Regulation of Brokers, Dealers, and Investment Advisors |
| 13 | Public Enforcement |
| 14 | U.S. Regulation of Cross-Border Securities Transactions |
板書 /Writing on the Board
スライド（パワーポイント等）の使用 /Slides (PowerPoint, etc.)
上記以外の視聴覚教材の使用 /Audiovisual Materials Other than Those Listed Above
個人発表 /Individual Presentations
グループ発表 /Group Presentations
ディスカッション・ディベート /Discussion/Debate
実技・実習・実験 /Practicum/Experiments/Practical Training
学内の教室外施設の利用 /Use of On-Campus Facilities Outside the Classroom
校外実習・フィールドワーク /Field Work
上記いずれも用いない予定 /None of the above
| 補足事項 (Supplementary Items) |
|---|
| The teaching methods may change depending on the number of participants and other circumstances. |
Participants are expected to read specified section of the textbook before classes.
| 種類 (Kind) | 割合 (%) | 基準 (Criteria) |
|---|---|---|
| 平常点 (In-class Points) | 100 |
Submissions instructed in class(40%) 中間レポート（Mid-term Report)(30%) 最終レポート(Final Report)(30%) |
| 備考 (Notes) | ||
| No | 著者名 (Author/Editor) | 書籍名 (Title) | 出版社 (Publisher) | 出版年 (Date) | ISBN/ISSN |
|---|---|---|---|---|---|
| 1 | Alan R. Palmiter | Examples & Explanations for Securities Regulation (Examples & Explanations Series) 8th Edition | ASPEN Publishing | 2021 | 9781543807684 |
| その他 (Others) | |||||
| Handouts will be distributed for each session. | |||||
| No | 著者名 (Author/Editor) | 書籍名 (Title) | 出版社 (Publisher) | 出版年 (Date) | ISBN/ISSN |
|---|---|---|---|---|---|
| 1 | 黒沼 悦郎 | 『アメリカ証券取引法 (アメリカ法ベーシックス)（第２版）』 | 弘文堂 | 2004 | 9784335301094 |
| 2 | 山本 雅道 | 『アメリカ証券取引法入門―基礎から学べるアメリカのビジネス法（改訂版）』 | 第一法規 | 2019 | 9784474067615 |
Participants are not required to have specific level of English nor background knowledge but are expected to have strong curiosity in learning each topic.
The order of course schedule may change depending on the progress of the lecture. Other themes may be taken up in view of the progress of current events.