Spring 2013
5363 Securities Regulation - RAGAZZO- 30225

Professor(s): Robert Ragazzo (FACULTY)

Credits: 3

Course Areas: Business and Commercial Law 

Time: 1:00p-2:30p  MWLocation: 215  TU2

Course Outline: SECURITIES REGULATION

Federal securities law has three basic policy goals: (a) providing information to investors; (b) ensuring the orderly operation of American securities markets; and (c) preventing fraud. The course in Securities Regulation focuses on each of these areas. The first part of the course considers the law applicable to selling securities to the public. Specifically, it deals with the registration requirements of the Securities Act of 1933 and the exemptions that allow issuers to escape registration. The second part of the course examines the regulation of markets, brokers, and dealers by the Securities and Exchange Commission. The third part of the course reviews the most important antifraud provisions of the Securities Act and the Securities Exchange Act of 1934.

Course Syllabus:

Course Notes:   

Prerequisites: Yes  Business Organizations is a prerequisite for this course. Every enrolled student must have taken, or be simultaneously taking, the course in Business Organizations.

First Day Assignments:

Final Exam Schedule: 05/03 1-4pm  213 BLB    

This course will have:
Exam:
Paper:

Satisfies Skills Course Requirement: No
Satisfies Senior Upper Level Writing Requirement: No