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Fall 2020
5363 Securities Regulation - RAGAZZO- 17882

Professor(s): Robert Ragazzo (FACULTY)

Credits: 3

Course Areas: Business and Commercial Law 

Time: 1:00p-2:30p  MW  Location:  


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: Syllabus

Course Notes: DistanceEd  The instructor for this course has expressed a preference to operate the course as distance education. This means no physical classroom is assigned for this course. This also most likely means synchronous internet videoconferencing class sessions during the day(s) and time(s) when the course is scheduled to meet. However, other, more flexible modalities are possible, such as not using some of the scheduled class sessions to meet but instead supplementing with asynchronous distance education techniques. More details should be made available from the instructor via their syllabus or via other means as the start of the semester nears.


First Day Assignments:

Final Exam Schedule: 12/09 1 - 4pm      

This course will have:

Satisfies Senior Upper Level Writing Requirement: No

Experiential Course Type: No

Bar Course: No

DistanceEd ABA 306:

Pass-Fail Student Election: Unavailable (Instructor Preference)

Course Materials (5/7/2020 2:43:18 PM)

Book(s) Required

ISBN 9781628102192
Securities Regulation 13th

New, Used, Rent, International
Author: John Coffee Jr.; Hillary Sale; M. Henderson
Publisher: West Academic
Edition: 13th, Thirteenth, 13e Year: 2015 Format: Hardcover 1719 pages
ISBN 13: 9781628102192

Federal Securities Laws: Selected Statutes, Rules and Forms, 2019-2020 Edition
Federal Securities Laws: Selected Statutes, Rules and Forms, 2019-2020 Edition
Author:John C. Coffee Jr, Hillary A. Sale, Charles K. Whitehead
Publish Date:
Dec 24, 2019