Securities Regulation - Burch


Course Title

Securities Regulation



First Assignment

Securities Regulation 

Spring 2013 – First Assignment 


Associate Dean Regina Burch 

Office – Room 549 

Office Phone – (614) 236-6564 


Required Texts:     Larry D. Soderquist and Theresa A. Gabaldon, Securities Regulation (7th Edition, 2010, Foundation Press) ISBN:  978-1-59941-744-8.  Also, Coffee, Jr. and Sale, Federal Securities Laws: Selected Statutes, Rules and Forms, 2012 Edition Including Amendments Received Through July 1, 2012, Foundation Press (“Supplement”.)   


The first assignment is indicated below and includes materials from Securities Regulation and from the Supplement.  Please keep the Situations on pages 18 and 36-37 in mind as you prepare the first assignment.  We will begin to discuss the Situations in the first class and continue the discussion the following week. 


Also, please register for this course on TWEN. 







Overview of Federal Securities Law; Securities Act Registration—Business Context and Regulatory Framework 


Securities Act §§ 2(a)(3), 5(a) and (c) 

Skim Preface.   


Read pp. 1-top of 40.