日本語 English
| 開講年度/ Academic YearAcademic Year |
20232023 |
| 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 |
EX670/EX670EX670 |
| 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 |
|
| 校地/ CampusCampus |
池袋/IkebukuroIkebukuro |
| 学期/ SemesterSemester |
秋学期/Fall semesterFall semester |
| 曜日時限・教室/ DayPeriod・RoomDayPeriod・Room |
水2/Wed.2 Wed.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 |
LPX2911 |
| 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 |
|
| 履修中止可否/ Course CancellationCourse 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 |
|
| 備考/ NotesNotes |
その他登録 |
The US Securities Regulation is the essential knowledge when you would engage in the international businesses in the future, such as cross-border M&A and cross-border securities issuance. Violation of the US Securities Laws can be subject to rigorous enforcement by the US authorities.
In this seminar, participants are expected to understand and deepen their insights on the framework of U.S. Securities Regulation as well as its practical applications/court cases through reading the specified textbook.
In this seminar, participants are expected to read and present on the sections of the textbook that are allocated to each of them, followed by the discussions among the participants.
Participants are not required to have specific level of English nor background knowledge, but are expected to have strong curiosity in learning each topic.
| 1 | Introductions |
| 2 | Introduction to 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
Participants are expected to read specified section of the textbook before classes to facilitate discussions.
| 種類 (Kind) | 割合 (%) | 基準 (Criteria) |
|---|---|---|
| 平常点 (In-class Points) | 100 |
Attendance and Participation(60%) Preparation and Presentation(40%) |
| 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 |
| 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 |
＜選考方法＞
採用人数：20名以内
配当年次：２年次以上
選考方法：レポート
①題目：自己紹介および志望動機
②字数：1000字（A4用紙1枚）程度
演習論文：実施しない
【2023/6/1担当者名変更】
変更前：法)金融庁職員
変更後：三橋 葉子
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や証券発行など、将来皆さんが国際的なビジネスに携わるにあたっては必須の知識である。米国証券規制の違反は厳格な法執行の対象となり得る。
本演習では、英語テキストを読み進めながら、米国の証券規制の全体像及び具体的な適用事例/判例について知見を深めることを目指す。
The US Securities Regulation is the essential knowledge when you would engage in the international businesses in the future, such as cross-border M&A and cross-border securities issuance. Violation of the US Securities Laws can be subject to rigorous enforcement by the US authorities.
In this seminar, participants are expected to understand and deepen their insights on the framework of U.S. Securities Regulation as well as its practical applications/court cases through reading the specified textbook.
本演習では、報告者が指定されたテキストの範囲を読み、報告する。報告後には全体でのディスカッションを行う。
特定のレベルの英語力や前提知識は求めていないが、受講する学生には、各テーマについて好奇心をもって学習することが求められる。
In this seminar, participants are expected to read and present on the sections of the textbook that are allocated to each of them, followed by the discussions among the participants.
Participants are not required to have specific level of English nor background knowledge, but are expected to have strong curiosity in learning each topic.
| 1 | Introductions |
| 2 | Introduction to 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
Participants are expected to read specified section of the textbook before classes to facilitate discussions.
| 種類 (Kind) | 割合 (%) | 基準 (Criteria) |
|---|---|---|
| 平常点 (In-class Points) | 100 |
Attendance and Participation(60%) Preparation and Presentation(40%) |
| 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 |
| 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 |
＜選考方法＞
採用人数：20名以内
配当年次：２年次以上
選考方法：レポート
①題目：自己紹介および志望動機
②字数：1000字（A4用紙1枚）程度
演習論文：実施しない
【2023/6/1担当者名変更】
変更前：法)金融庁職員
変更後：三橋 葉子