Securities Litigation | L4529

This course will provide in depth coverage of the types of litigation and adversary proceedings a securities litigation attorney will encounter in private practice. The course will cover: Securities and Exchange Commission (“SEC”) investigations, administrative proceedings, injunctive actions and criminal referral cases. The course will also cover adversarial proceedings initiated by the securities industry self-regulatory organizations (“SRO’s”) i.e., the national securities exchanges and securities associations such as: rhe Financial Industry Regulatory Authority, Inc., (“FINRA”). We will also cover administrative proceedings initiated by state securities commissioners/departments, enforcing state “Blue Sky” Laws.

On the “private securities litigation side”, we will also cover the securities broker-dealer arbitration and mediation practice, as well as securities class actions in federal and state court including: litigation under sections 11 and 12 of the Securities Act of 1933, section 10(b) and rule 10b-5 under the Securities Exchange Act of 1934, insider trading, fraud an the market, proxy and corporate governance litigation (Sarbanes – Oxley Act), tender offer litigation, the Foreign Corrupt Business Practices Act, the application of the Racketeer Influenced and Corrupt Organizations Act (“RICO”) to securities transactions, litigation involving securities attorneys, accountants and other professionals, as well as criminal, and international securities litigation issues.

Prerequisites: None
Credit Hours: 3
ULW: This course does not satisfy the Upper Level Writing requirement (ULW)

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