COURSE REQUIREMENTS
Securities Law Program Certificate Requirements
Required Courses

  • Corporations, 3 credits (Fall 2022 and Spring 2023)
  • Introduction to Securities Law, 3 credits (Fall 2022)
  • Administrative Law, 3 credits (Fall 2022 and Spring 2023)

Electives - Three Required

  • Advanced Securities Regulation (offered on rotating basis)
  • Corporate Finance Seminar (Spring 2023)
  • Mergers and Acquisitions (Fall 2022)
  • Securities Reg.: Civil Litigation, 2 credits (Fall 2022)
  • Securities Reg.: Compliance, 3 credits (transition to practice) (Spring 2023)
  • Securities Markets Regulation Seminar, 3 credits (offered on rotating basis)
  • Securities Reg.: Derivatives Seminar, 2 credits (offered on rotating basis)
  • Securities Reg.: Enforcement Procedures and Issues, 2 credits (Spring 2023)
  • Securities Regulation: Mutual Funds and Investment Advisers Act, 2 credits (Fall 2022)
  • Securities Regulation: Securitization of Assets - A Transactional Approach, 2 credits (offered on rotating
    basis)

Co-Curricular Courses - Two Recomended

  • Antitrust (Spring 2023)
  • Banking Law (offered on rotating basis)
  • Bankruptcy (offered on rotating basis)
  • Commercial Transactions (Fall 2022 and Spring 2023)
  • Compliance, Ethics and Corporate Responsibility (Fall 2022)
  • Conducting Internal Investigations (Spring 2023)
  • Corporate Tax (offered on a rotating basis)
  • Digital Assets/Cryptocurrency (Spring 2023)
  • Financial Institutions Regulation (offered on rotating basis)
  • Information Privacy (Spring 2023)
  • International Business Transactions (offered in Cracow Summer Law Program)
  • International Corruption and Compliance (offered on rotating basis)
  • Law and Public Policy (offered on rotating basis)
  • Legal Accounting or Accounting for Securities Lawyers (offered on rotating basis)
  • Legislation: The Making of a Federal Statute (Fall 2022)
  • Partnership Taxation (Fall 2022)
  • Risk Management, Audit and Financial Controls (Spring 2023)
  • Statutory Interpretation: Regulatory Analysis in the Administrative State (Fall 2022)
  • Tax on Wealth Transfers/Estate Planning (Spring 2023)
  • Unincorporated Business Organizations (offered on rotating basis)
  • Wealth Management (offered on rotating basis)
  • White Collar and Business Crimes (offered on rotating basis)

EXTERNSHIPS - Two Required
Students must complete two externships. If the externship is to be taken for academic credit, the student must contemporaneously be enrolled in a one credit Becoming a Securities Lawyer or Becoming a Lawyer course or the externship must be the SEC Honors Program. Each student must consult with the Director before undertaking to select an externship and must obtain approval from the Director for each field placement proposed to satisfy one of the experiential learning requirements.

SEC HONORS PROGRAM
Students enrolled in the SEC Honors Program must attend eight of the Honors Program brown bag luncheon talks at the SEC. (Up to two missed brown bag lunches may be substituted by attending up to two SEC Wide Lectures.) Students are also responsible for maintaining a time log for their externship. Additionally, students are required to attend two supervised fieldwork sessions arranged by the SEC Student Honors Program Course Dean, Bryan McDermott. You will be notified of the time and place of these sessions by Dean McDermott.

WRITING REQUIREMENT
To receive a certificate in Securities Law, students must complete a writing requirement. There are five ways to achieve this.

  1. A major paper may be written as part of the coursework needed for the Securities Law certificate.
  2. A two-credit Directed Research project may be conducted on a Securities-related issue. (The Director must approve the paper topic in advance.)
  3. A securities regulation-related note or comment may be submitted for publication.
  4. Participation in the Securities Moot Court team competition in the Spring may also qualify for the writing requirement, as determined by the Director in consultation with the Securities Moot Court Administrator(s).
  5. Portfolio writing experience as part of a Securities course.

CO-CURRICULAR ACTIVITIES

All certificate program candidates need to maintain an active presence in the Securities Program. This presence can be satisfied by attending the Securities Program Lectures, assisting in administering the mentor/mentee program of the Securities Program; assisting in administering the Moot Court Program or participating in the Moot Court Competitions; helping to coordinate one of the Securities Program lectures. In addition, all certificate candidates are expected to certify that they attended at least one-half of the lectures presented annually by the Securities Law Program. Each certificate applicant will be responsible for keeping a record of completion of the required co-curricular activities, which will be presented to the Institute Office for verification.

To apply to the Securities Law Program, please visit the website.