Securities Litigation Seminar |

In this three hour Seminar course we will examine all aspects of Securities Litigation and Securities Enforcement Proceedings. The course will cover Securities Exchange Commission (“SEC”), State Securities Commission and Securities Industry Self-Regulatory Organizations (“SRO’s”), investigations, administrative proceedings and federal and state court injunctive proceedings. We will also cover criminal referrals from such agencies and international securities fraud. We will also examine Dispute Resolution Systems in the Securities Industry including: Arbitration and Mediation forums. While the course will be primarily in a Seminar/Lecture Format, we will have at least two team Problem Solving exercises as part of the final grade coupled with a final exam.

Prerequisites: N/A
Credit Hours: 3
ULW: This course does not satisfy the Upper Level Writing requirement (ULW)

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