The Catholic University of America

Securities Regulation Concentration

This concentration program is designed to satisfy the interests and provide the professional preparation for those students who find fascination in exploring how business and industry create the means to finance their operations.
 
From the venture capital firm to the large online retail megastores, the program focuses upon the formation of capital and the subsequent trading of financial instruments in the secondary market.
 
The regulations, statutes, and case law designed to enhance capital formation and ensure fair and equitable markets are examined for how they work to insure a healthy national economy. Courses that are either required or electives allow the dedicated student to discover methods of capital formation and the structure of the markets in which secondary trading occurs.
 
Courses will also cover the regulation of secondary trading, as well as the enforcement of anti-fraud provisions both by government and investors so as to protect markets from manipulation and deter manipulation or misrepresentation.  In addition, students will enhanced understanding of secondary trading through the development of derivative instruments and the creation of pools of investment capital.
 
A "Tracking Sheet" should be used by students to track their progress in completing the concentration. Once all requirements are fulfilled, students should bring the tracking sheet to their concentration coordinator. The concentation coordinator will verify requirements have been met and then sign the bottom of the form. The form should then be submitted to the registrar for processing of the concentration completion letter.

Classroom training is supplemented by internships with government regulatory agencies, trade associations and self-regulatory bodies. Graduates of this program typically advance to hold positions with large business law firms, government agencies and industry regulatory bodies.
 
Professor David A. Lipton
Director, Securities Law Program

lipton@law.edu