Course Details

Advanced Securities Regulation

This seminar will examine the organization and operation of the United States Securities and Exchange Commission. It will concentrate on the SEC's regulation of the securities markets. Topics will include: SEC organization, funding, and relations with Congress; analysis of the 2008 - 2009 credit crisis; civil liability under the federal securities laws; regulation of broker-dealers; SEC enforcement of the securities laws; proxy voting and shareholder activism; hedge funds; derivatives regulation; and, securities market structure and volatility. The seminar will be taught by Professor David Ruder, former Chairman of the SEC. From time to time SEC officials, securities lawyers, and others will participate in the seminar. A one or two draft paper will be required. Class materials will consist of extensive PDF and internet assignments. Class participation will be expected. There are no prerequisites. A finance or business background will be useful, as will completion of or concurrent registration in the securities regulation course. A more extensive description of the seminar may be obtained from Marianne Martinez at

Catalog Number: BUSCOM 621
Practice Areas: Business, Corporate,Trans Area
Additional Course Information: 1 Draft degree req may be met with class,  Business Concentration Elective

Course History

Fall 2014
Title: Advanced Securities Regulation
Faculty: Ruder, David S. (courses | profile)
Section: 1     Credits: 3.0
Capacity: 20     Actual: 20