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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:  

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:  

First Day Assignments:

Final Exam Schedule: 12/09 1 - 4pm      

This course will have:
Exam:
Paper:

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

Experiential Course Type: No

Bar Course: No

DistanceEd ABA 306:

Pass-Fail Student Election:

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

Book(s) Required

ISBN 9781628102192
Securities Regulation 13th

Formats:
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


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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
Format:
Paperback
Publish Date:
Dec 24, 2019
ISBN-10:
1642429392
ISBN-13:
9781642429398