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Fall 2022
5363 Securities Regulation - RAGAZZO- 15335

Professor(s): Robert Ragazzo (FACULTY)

Credits: 3

Course Areas: Business and Commercial Law 

Time: 1:00p-2:30p  TTH  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: Syllabus

Course Notes: (Face-to-Face)  The UH registration system instruction mode for this course is listed in parenthesis. After student registration opens, there may be instruction mode changes to this course up through two weeks before the first day of classes for the term, but notice of such changes will be sent to then-registered students. 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: 12/08 1-4pm      

This course will have:
Exam:
Paper:


Satisfies Senior Upper Level Writing Requirement: No

Experiential Course Type: No

Bar Course: No

DistanceEd ABA:

Pass-Fail Student Election: Unavailable (Instructor Preference)

Course Materials (3/29/2022 11:49:53 AM)

Book(s) Required

Securities Regulation: (a) Coffee, Sale & Whitehead, Securities Regulation: Cases and Materials (Foundation Press 14th edition 2021); and (b) Coffee, Sale, & Whitehead, Federal Securities Laws: Selected Statutes, Rules and Forms, 2021-2022 Edition (Foundation Press 2022) (ISBN: 9781647089078 and Publication Date: 1/10/2022)