Securities Law Seminar & Practicum |

This class (formerly called Representing Clients Before the SEC) focuses on the processes and practices of the SEC’s Enforcement Division, intertwined with discussion and analysis of SEC enforcement investigations, trials, and resolutions. The course includes case studies of foundational areas of the securities laws (e.g., insider trading, fraudulent securities offerings, accounting fraud, investment advisor fraud, and broker-dealer fraud) as well as practical opportunities to learn and practice investigative techniques and advocacy skills in the context of SEC proceedings. Students will gain critical information with respect to a wide variety of cases before the Division, including cases involving public companies, regulated entities, and defrauded investors.

Prerequisites: N/A
Credit Hours: 2
ULW: This course does not satisfy the Upper Level Writing requirement (ULW)

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