| General Description: |
This securities course will introduce students to a range of important areas of concern for
today’s securities lawyer including but not limited to: SEC enforcement investigation and
process topics; Sarbanes-Oxley requirements and ethical concerns; insider and outsider
trading; the interaction between SEC enforcement actions, criminal proceedings, and
private securities class action lawsuits; the role of the five Commissioners at the SEC; the
impact of regulations and loopholes on securities offerings; regulated entity and regulated
individual compliance issues; the challenge of regulating the markets; and strategic
considerations in representing entities versus individuals, particularly concerning
cooperation credit and attorney-client privilege waiver issues. The course will discuss
legal theories and the practical application of those theories in real world scenarios. |
