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Fall 2021
5363 Securities Regulation - RAGAZZO- 16195

Professor(s): Robert Ragazzo (FACULTY)

Credits: 3

Course Areas: Business and Commercial Law 

Time: 2:30p-4:00p  MW  Location: 240  TUII

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:   Whether this course will be distance education, or will have a physical room assigned, and if so the extent to which the instructor might use the room during the semester, is not determined at the time when registration initially opens for this course.  You may see contrary indications in the UH systems where you actually register for the course.  In other words, this course might be distance education with no use of a physical classroom. It might be the “HyFlex” mode in which some Law Center courses used a physical room during 2020-21. As we get closer to the start of the term/semester for this course, this course note will be updated as decisions are determined. The instructors will be involved in those decisions, but decisions about modalities may not be invariant throughout the term/semester or between now and when the course starts.

Prerequisites:  

First Day Assignments:

Final Exam Schedule: 12/14 1pm-4pm  240 BLB    

This course will have:
Exam:
Paper:


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 (6/23/2021 2:24:52 PM)

Book(s) Required

Securities Regulation: (a) the 14th edition of the Coffee, Sale & Whitehead casebook, ISBN (9781647087753), published by Foundation Press.

(b) the 2020-21 Securities Regulation Statutory Supplement thereto "2020", ISBN (9781684679775)