Course Details

Securities Regulation: Enforcement & Liability

What are all the corporate scandals of recent years about - - Enron, WorldCom, and others? Among other things, they involve alleged federal securities fraud, leading to actions by the Securities and Exchange Commission for civil remedies; private claims, including class actions, seeking damages; and criminal indictments. This course addresses the law that underlies those claims, including securities law class actions. We will cover all aspects of private civil liability, SEC enforcement and criminal prosecutions under the Securities Act of 1933 and the Securities Exchange Act of 1934, including developments under the Private Securities Litigation Reform Act of 1995 and the Sarbanes-Oxley Act of 2002. This course is offered each year subject to the minimum enrollment requirement of fifteen students. Teaching Method: Class discussion supplemented by introductory lectures. Text: The text for the course is Securities Litigation and Enforcement by Donna M. Nagy et al. (2nd edition 2008). There is no need to buy a statutory supplement, as all relevant statutes and rules are either reproduced in the text or are readily available on-line. Supplementary material will be provided on the Course Management System and any casebook supplement. Evaluation: Examination (open book) and class participation Prerequisites: None. (The casebook contains the necessary background under the federal securities laws for those who have not taken Securities Regulation.)

Catalog Number: BUSCOM 624
Practice Areas: Business, Corporate,Trans AreaCivil Lit. and Dispute ResolutionProcedure Practice Area

Course History

Spring 2014
Title: Securities Regulation: Enforcement & Liability
Faculty: Horwich, Allan (courses | profile)
Section: 1     Credits: 3.0
Capacity: 59     Actual: 10

Spring 2013
Title: Securities Law Civil Liability and Enforcement
Faculty: Horwich, Allan (courses | profile)
Section: 1     Credits: 3.0
Capacity: 59     Actual: 21

Spring 2012
Title: Sec.Reg: Civ Liability&Enforc
Faculty: Horwich, Allan (courses | profile)
Section: 1     Type: Lecture     Credits: 3.0
Capacity: 59     Actual: 28