Spring 2025
Professor(s):
Robert Ragazzo (FACULTY)
Credits: 3
Course Areas: Business and Commercial Law
Time: 10:30a-12:00p MW Location: 260
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: Syllabus
Course Notes: (Face-to-Face) The UH registration system instruction mode for this course is listed in parenthesis. For this instruction mode, instructors and students are expected to normally be physically present in the classroom. If the course has a final examination, it will be in a classroom requiring your physical presence. Other assessment, such as a mid-term exam, may also be in a classroom. Whether this instructor will offer “remote presence” (starting a zoom meeting from the podium computer to enable student remote access on an occasional basis) for part or all of the semester is not known, but students should not rely on an expectation that remote presence will be available.
Prerequisites:
First Day Assignments:
Final Exam Schedule: 05/5/2025 9-12pm
This course will have:
Exam:
Paper:
Satisfies Senior Upper Level Writing Requirement: No
Experiential Course Type: No
Bar Course: No
DistanceEd ABA: No
Pass-Fail Student Election: Unavailable (Instructor Preference)
Course Materials
Book(s) Required
Course Materials: The required materials for the course are: Coffee, Sale & Whitehead, Securities Regulation: Cases and Materials (Foundation Press 15th ed. 2024) and the Fall 2024 Statutory Supplement thereto. You are required to purchase the printed editions of these books and bring them to class. You will be permitted to bring these materials, and no others, to the examination. You may refer to material written in your books (and any tabs placed in your books) during the examination. You may not place
