Securities Regulation: Enforcement Procedures and Issues (2 hrs.)
This Securities Program offering will introduce securities law students to the enforcement of the federal securities laws from the perspectives of both the SEC Division of Enforcement and defense counsel. Students will learn about how the division operates and how it investigates potential violations, how it interacts with other regulatory authorities, and how defense counsel represents clients in the enforcement process. The course will also discuss current issues in securities law enforcement, including insider trading, financial fraud, and other types of matters. Students taking this course are required to contemporaneously take or previously have taken Corporations. It is suggested that students also contemporaneously or previously take a basic securities course. Mr. Bennett, Mr. Faragasso.