Summer Intersession or Fall 2013 Initial Class Assignment for:
Securities Regulation
Instructor: Leahy
First class date: Aug. 19, 2013
Posting date: Aug 13, 2013 @ 12:14:23
Instructions: CASEBOOK:
Our casebook is Coffee & Sale, Securities Regulation (12th ed. 2012) (“C&S”). There also is
a casebook supplement, which I expect to be published in time for the first class.
Buying the statutory supplement is optional because the statutes and rules that you must
read for this course can be located online. However, you may find it far easier to simply
buy the supplement.
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FIRST CLASS ASSIGNMENT:
C&S, pp. 1-9 (pt. I, ch. 1, § 1), pp. 54-72 (pt. I, ch. 1, § 4) and pp. 246-47 (ch. 4, § 1, sub-
§ A, but stopping BEFORE the Howey case).
Securities Act of 1933 § 2(a)(1); Securities Exchange Act of 1934 (“Exchange Act”) § 3(a)
(10).
[You also may wish to read or skim, as helpful background: C&S, pp. 11-38 (pt. I, ch. 1, §
2) and pp. 39-54 (pt. I, ch. 1, § 3). I may lecture briefly on these sections but they are not
required reading].
Also be sure to read the Syllabus Part A (class rules & procedures) for the first class. I may
quiz you on the rules in the first class!
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OTHER CLASS MATERIALS:
All materials for the class will be posted our class website on Moodle.
I expect to post Syllabus Part A (class rules & procedures) and Syllabus Part B (first half
assignments) on Moodle by Saturday afternoon, August 17.
Here is a link to the class website on Moodle (cut and paste it into your browser’s address
window; after that, you should be able to bookmark it):
http://online.stcl.edu/course/view.php?id=3146
Please ONLY use this link to access the class website. Do NOT access Moodle directly! (The
website is currently under construction. It will be ready on or before Saturday morning,
when the Syllabus will be posted.)
You must enter your STANLEY login and password to log in to the website.
See you in class on Monday!!
JKL
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