Legal Research Guides by Course - Securities Regulation

Course Description:

The course is designed to deal primarily with the offering and sale of securities which is governed under the Securities Act of 1933, sometimes referred to as the “Truth in Securities Act.”  The students should complete the course with the overall understanding of the securities registration process as it applies in the United States.  The course will explore the question of what is a security.  It will then address the registration process and how securities are offered to the public.  The concept of materiality is considered and the consequences of a deficient registration statement, including the remedies available under the Act, including damages and rescission.  The course also explores certain exemptions from the registration requirements of the Act including the private offering exemption, the intrastate offering and Regulation D.  Secondary transactions are also covered. Prerequisite: Corporations (2 credits)

Faculty Who Teach This Course:

• Ronald J. Ricci (Professor of Law)
• William Campbell Ries, Esq. (adjunct professor)

Subject Covered Presently in Collection by: