LAW 536 - Select Topics in Securities Regulation

3

This seminar explores the primary mechanisms of enforcement of the federal securities laws: criminal prosecution, civil enforecement proceedings by the Securities and Exchange Commission, class actions by private litigants, and arbitration of broker/customer disputes. The seminar will focus on enforcement mechanisms (imprisonment, injunctions, occupational bars, restitution, fines and civil penalties) rather than the substance of the securities laws. Completion of Securities Regulation is not required but may be helpful in understanding some of the materials. Satisfies the writing requirement.