COURSE REQUIREMENTS
Securities Law Program Certificate Requirements
Required Courses

  • Business Associations or Corporations, 3 credits 
  • Introduction to Securities Law, 3 credits
  • Legislation - Regulation or Administrative Law, 3 credits

Electives - Three Required

  • Advanced Securities Regulation 
  • Corporate Finance Seminar (offered on rotating basis)
  • Digital Assets/Cryptocurrency (offered on rotating basis)
  • Mergers and Acquisitions (offered on rotating basis)
  • Securities Reg.: Civil Litigation, 2 credits (offered on rotating basis)
  • Securities Reg.: Compliance, 3 credits 
  • Securities Markets Regulation Seminar, 3 credits (offered on rotating basis)
  • Securities Reg.: Derivatives Seminar, 2 credits 
  • Securities Reg.: Enforcement Procedures and Issues, 2 credits 
  • Securities Regulation: Mutual Funds and Investment Advisers Act, 2 credits 
  • Securities Regulation: Securitization of Assets - A Transactional Approach, 2 credits 
  • Wealth Management 

Co-Curricular Courses - Two Recommended

  • Antitrust
  • Banking Law (offered on rotating basis)
  • Bankruptcy (offered on rotating basis)
  • Commercial Transactions 
  • Compliance, Ethics and Corporate Responsibility 
  • Conducting Internal Investigations
  • Corporate Tax (offered on a rotating basis)
  • Financial Institutions Regulation (offered on rotating basis)
  • Information Privacy
  • International Business Transactions (offered on rotating basis)
  • International Corruption and Compliance 
  • 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 (offered on rotating basis)
  • Partnership Taxation (offered on rotating basis)
  • Risk Management, Audit and Financial Controls 
  • Statutory Interpretation: Regulatory Analysis in the Administrative State (offered on rotating basis)
  • Tax on Wealth Transfers/Estate Planning (offered on rotating basis)
  • Unincorporated Business Organizations (offered on rotating basis)
  • White Collar and Business Crimes 

EXTERNSHIPS - Two Required

Students complete two externships, one of which must be taken for academic credit (unpaid). Students may complete the experiential learning requirement in one of two ways:
1.Externship: Students may enroll in one externship in the areas of securities and/or corporate law for academic credit. To earn academic credit, students must be enrolled concurrently in the courses: Becoming a Lawyer for 1 credit course (classroom component) and Legal Externship for 2 or 3 credits (120 hours or 180 hours of fieldwork). Students must consult with Jack W. Murphy, director of the Securities Law Program, before undertaking to select an externship and must obtain approval from the Director for the field placement proposed to satisfy the experiential learning requirement.

Once students have been offered a placement, they must get the placement approved before accepting it. To begin the process of seeking academic credit, complete this application. After your application is approved by Professor Ross, sign the Site Supervisor, Faculty Supervisor and Extern Agreement with your Site Supervisor and email the agreement to Deborah Hawkins (hawkinsde@law.edu). Professor Ross will sign the agreement and a final copy will be uploaded to a Shared Google Drive folder assigned to you. Please refer to our Externship Information for Law Students page for a complete set of instructions on applying for externship credit and to review the Externship Program Student Handbook.
Note: Students may satisfy the second externship with a paid externship.
 
2. United States Securities and Exchange Commission (SEC) Scholars Program: Students interested in the SEC Scholars Program must apply via usajobs.gov. The Program is a specialized ten-week externship for 3 credits that provides students from area law schools with an introduction to the Securities and Exchange Commission's regulation of securities and securities markets. Second, third, or fourth-year students who have completed the course in Corporations are eligible for selection by representatives of the SEC to participate in this very competitive program. Each student selected is assigned to one of the divisions of the SEC headquarters in Washington, D.C.
Students are assigned to work with SEC staff members on projects involving a broad range of the commission's work. Past projects have included investigation of industry and issuer practices, litigation of civil enforcement actions, administrative proceedings, and drafting proposed statutes and rules. SEC staff members serve as professional mentors, assisting with research and writing projects as well as providing advice and guidance on career development. Catholic Law students are required to attend seminars, workshops, and commission meetings as a part of their service at the SEC. To receive academic credit for the SEC Scholars Program externship, students must register for the SEC Scholars Program – Catalog No. 937. To apply please visit the SEC Scholars Program website. You will be notified of the time and place of these sessions by Professor Christopher R. Ross.
For additional information or advice regarding an Externship and/or SEC Scholars placements, contact Christopher Ross, Clinical Assistant Professor, at rosscs@cua.edu and (202) 319-6783.

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.
 
Peruse the website for more information on the Securities Law Program. To apply to the Program,
complete and submit the on-line application.