Course Details

Securities Regulation: Enforcement & Liability

This course provides a comprehensive understanding of all facets of securities litigation, including private claims for damages (including securities class actions), SEC enforcement investigations and litigation, and aspects of criminal prosecutions for violations of the federal securities laws. A comprehensive understanding of federal securities regulation for the corporate attorney, as well as for the student aiming for a litigation career, includes a grasp of the implications of failing to comply with the law. This course is offered each year subject to the minimum enrollment requirement of ten students. Prerequisites: None. The casebook contains the necessary background under the federal securities laws for those who have not taken the introductory course in Securities Regulation. An understanding of civil procedure in common law jurisdictions is highly desirable, as most of the course material is cases decided by U.S. federal courts. Teaching Methods: Class Participation, Discussion, Lecture Evaluation Methods: Class Participation, Final Exam (Open Book) or Paper (minimum of two drafts). Class Materials: Securities Litigation and Enforcement by Donna M. Nagy et al. (4th edition 2017). ISBN-13: 978-1-68328-165-8. Other materials will be posted on Canvas. Students may also want to have a statutory supplement, ideally a 2017 edition though the provisions of the law on which this course focuses have not changed since 2010. The relevant statutes and rules are also available on-line at https://www.sec.gov/answers/about-lawsshtml.html.

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


Course History

Spring 2018
Title: Securities Regulation: Enforcement & Liability
Faculty: Horwich, Allan (courses | profile)
Section: 1     Credits: 3.0
Capacity: 25     Actual: 13

Spring 2017
Title: Securities Regulation: Enforcement & Liability
Faculty: Horwich, Allan (courses | profile)
Section: 1     Credits: 3.0
Capacity: 65     Actual: 9

Spring 2016
Title: Securities Regulation: Enforcement & Liability
Faculty: Horwich, Allan (courses | profile)
Section: 1     Credits: 3.0
Capacity: 65     Actual: 17