Curriculum Guide · Courses
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SEC Enforcement and Litigation
Professors Marc Dorfman and Mark Radke LL.M Course 960 (cross-listed) | 2 credit hours This course will explore all aspects of the SEC’s enforcement process with emphasis on the procedures in first conducting an investigation and then either settling or litigating an enforcement action. Through selected examples of recent significant enforcement actions, the class will examine both the SEC’s and the private practitioner's considerations at strategic junctures in the enforcement process. The course will also survey the various contexts in which claims arising under the securities laws may be litigated, including criminal prosecutions, litigation with the SEC and other regulators, and class and derivative actions. Recent trends and current issues in SEC proceedings and private securities litigation will be discussed. Prerequisite: Securities Regulation.
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