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 |
EX680/EX680EX680 |
| テーマ・サブタイトル等/ Theme・SubtitleTheme・Subtitle |
Understanding Capital Markets |
| 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 |
演習・ゼミ/SeminarSeminar |
| 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5/Tue.5 Tue.5 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 |
その他登録/"Other" Registration"Other" 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 objectives of this course are to help students gain a good understanding of the laws that govern capital markets transactions, as well as what is like to practices law as a capital markets lawyer.
This course will first provide an overview of securities regulations and the role of the SEC. The course will also cover both public and private debt and equity offerings, including IPOs, SPACs and shelf offerings. The course will also touch on tender offers. Students will be asked to present to the class on a topic related to capital markets. Depending on availability, there may be several guest speakers to further expose students to how practitioners handle capital markets issues in their daily work.
| 1 | What are capital markets, and why do we need them anyway? |
| 2 | "Offers" and the role of the SEC |
| 3 | Equity offerings (part 1) |
| 4 | Equity offerings (part 2) |
| 5 | Debt offerings (part 1) |
| 6 | Debt offerings (part 2) |
| 7 | The underwriting agreement (part 1) |
| 8 | The underwriting agreement (part 2) |
| 9 | Ancillary documents |
| 10 | Tender offers (part 1) |
| 11 | Tender offers (part 2) |
| 12 | Student presentations (part 1) |
| 13 | Student presentations (part 2) |
| 14 | Final quiz |
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) |
|---|
| Depending on the size of the class, presentations may be done individually or in a group |
Homework, preparation for quizzes and for student presentation. See “Evaluation” for further information.
| 種類 (Kind) | 割合 (%) | 基準 (Criteria) |
|---|---|---|
| 平常点 (In-class Points) | 100 |
Homework(10%) Quizzes(15%) Student presentations(35%) Participation(15%) 最終テスト(Final Test)(25%) |
| 備考 (Notes) | ||
| Homework: From the third week, students will be asked to submit homework in response to questions I will provide regarding the reading. Homework is due at least 24 hours prior to the seminar. As long as a student has completed the assignment on time, full credit will be given. If the homework is received less than 24 hours before the seminar but by the time the seminar begins, 75% credit will be given. Homework received after the seminar but within the day of the seminar will receive 50% credit. Homework received later than the day of the seminar but prior to the end of the semester will receive 25% credit. All homework must be received in order to receive credit for this seminar. Quizzes: From the third week, students will take quizzes that will cover the information we discussed in the seminars. The two lowest scores will be dropped, and the remaining scores will be averaged. Participation: It is expected that this will be a small seminar. As such, students’ active participation will be required. Each student should speak multiple times during each seminar, but at a minimum four times. Student Presentation: Each student will present (either individually or in a group) a topic related to the course for 45 minutes. The presentation should include written materials. At the end of the presentation, each student presenter will be asked questions by fellow students and me. Students will be graded based on their level of preparation and presentation, as well as the quality of the written materials. Final test: The final test will be held during the time of the final seminar, and will cover material discussed during the entire semester. If students have (a) done and reviewed all of the readings, (b) reviewed and understood the answers to the weekly quizzes, (c) attended all of the seminars, (d) taken and reviewed notes and (e) actively participated in each seminar, they should be prepared for the final quiz. | ||
| その他 (Others) | |||||
|---|---|---|---|---|---|
| None |
| その他 (Others) | |||||
|---|---|---|---|---|---|
| Reading pack to be provided. |
A suitable English language proficiency level is a minimum of IELTS 5.5 or equivalent.
Students should (a) have taken International Business Law A, (b) have familiarity with the topics covered in International Business Law A or (c) be willing to put in the effort required to fill any gaps in their knowledge throughout the course.
Study abroad students will be considered for the course on a case-by-case basis.
<Selection Method（選考方法）>
The maximum number of students（採用人数）： 15 students
Designated year（配当年次）： Third year students or above
Selection Method（選考方法）： Short paper
①Theme(題目)： Please state:
(1) why you want to take this course and
(2)(a) if you have taken International Business Law A, one issue regarding capital markets you want to learn about; or
(2)(b) if you have not taken taken Business Law A, how you believe you have gained/will gain sufficient knowledge regarding basic business law concepts to be prepared for this course.
②Word count(字数)：At least 300 words
The objectives of this course are to help students gain a good understanding of the laws that govern capital markets transactions, as well as what is like to practices law as a capital markets lawyer.
This course will first provide an overview of securities regulations and the role of the SEC. The course will also cover both public and private debt and equity offerings, including IPOs, SPACs and shelf offerings. The course will also touch on tender offers. Students will be asked to present to the class on a topic related to capital markets. Depending on availability, there may be several guest speakers to further expose students to how practitioners handle capital markets issues in their daily work.
| 1 | What are capital markets, and why do we need them anyway? |
| 2 | "Offers" and the role of the SEC |
| 3 | Equity offerings (part 1) |
| 4 | Equity offerings (part 2) |
| 5 | Debt offerings (part 1) |
| 6 | Debt offerings (part 2) |
| 7 | The underwriting agreement (part 1) |
| 8 | The underwriting agreement (part 2) |
| 9 | Ancillary documents |
| 10 | Tender offers (part 1) |
| 11 | Tender offers (part 2) |
| 12 | Student presentations (part 1) |
| 13 | Student presentations (part 2) |
| 14 | Final quiz |
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) |
|---|
| Depending on the size of the class, presentations may be done individually or in a group |
Homework, preparation for quizzes and for student presentation. See “Evaluation” for further information.
| 種類 (Kind) | 割合 (%) | 基準 (Criteria) |
|---|---|---|
| 平常点 (In-class Points) | 100 |
Homework(10%) Quizzes(15%) Student presentations(35%) Participation(15%) 最終テスト(Final Test)(25%) |
| 備考 (Notes) | ||
| Homework: From the third week, students will be asked to submit homework in response to questions I will provide regarding the reading. Homework is due at least 24 hours prior to the seminar. As long as a student has completed the assignment on time, full credit will be given. If the homework is received less than 24 hours before the seminar but by the time the seminar begins, 75% credit will be given. Homework received after the seminar but within the day of the seminar will receive 50% credit. Homework received later than the day of the seminar but prior to the end of the semester will receive 25% credit. All homework must be received in order to receive credit for this seminar. Quizzes: From the third week, students will take quizzes that will cover the information we discussed in the seminars. The two lowest scores will be dropped, and the remaining scores will be averaged. Participation: It is expected that this will be a small seminar. As such, students’ active participation will be required. Each student should speak multiple times during each seminar, but at a minimum four times. Student Presentation: Each student will present (either individually or in a group) a topic related to the course for 45 minutes. The presentation should include written materials. At the end of the presentation, each student presenter will be asked questions by fellow students and me. Students will be graded based on their level of preparation and presentation, as well as the quality of the written materials. Final test: The final test will be held during the time of the final seminar, and will cover material discussed during the entire semester. If students have (a) done and reviewed all of the readings, (b) reviewed and understood the answers to the weekly quizzes, (c) attended all of the seminars, (d) taken and reviewed notes and (e) actively participated in each seminar, they should be prepared for the final quiz. | ||
| その他 (Others) | |||||
|---|---|---|---|---|---|
| None |
| その他 (Others) | |||||
|---|---|---|---|---|---|
| Reading pack to be provided. |
A suitable English language proficiency level is a minimum of IELTS 5.5 or equivalent.
Students should (a) have taken International Business Law A, (b) have familiarity with the topics covered in International Business Law A or (c) be willing to put in the effort required to fill any gaps in their knowledge throughout the course.
Study abroad students will be considered for the course on a case-by-case basis.
<Selection Method（選考方法）>
The maximum number of students（採用人数）： 15 students
Designated year（配当年次）： Third year students or above
Selection Method（選考方法）： Short paper
①Theme(題目)： Please state:
(1) why you want to take this course and
(2)(a) if you have taken International Business Law A, one issue regarding capital markets you want to learn about; or
(2)(b) if you have not taken taken Business Law A, how you believe you have gained/will gain sufficient knowledge regarding basic business law concepts to be prepared for this course.
②Word count(字数)：At least 300 words