Representing Clients before the SEC | 4704SEC

This seminar is designed to prepare the student to create a strategic plan for representing a client before the Securities and Exchange Commission. Defending a client in a government investigation is like playing a card game: you need to understand the rules of the game and be able to analyze the odds, the stakes, and the cards that each participant holds. The class will use a case studies approach. Course materials include the SEC’s Enforcement Manual and the Commission’s Rules of Practice, which are posted at

Prerequisites: N/A
Credit Hours: 3
ULW: This course will not meet the Upper Level Writing Requirement

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