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Fall 2014
5363 Securities Regulation - RAGAZZO- 12419

Professor(s): Robert Ragazzo (FACULTY)

Credits: 3

Course Areas: Business and Commercial Law 

Time: 4:00p-5:30p  TTH  Location: 3  BLB


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:   


First Day Assignments: The assignment for the first class is pp. 1-73 in the Coffee, Sale casebook. Read these pages quickly for background information. We will not discuss this material in class. The first class will be limited to organizational matters.

Final Exam Schedule: 12/18/14 4pm-7pm  213 BLB    

This course will have:

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

Experiential Course Type:

Bar Course:

Course Materials (4/3/2014 2:13:24 PM)

Book(s) Required