Curriculum Guide · Courses

Professors Jeffrey Maletta and Charles Mills

LL.M Course 832 | 2 credit hours

A survey of the law of securities fraud with particular emphasis on litigation under Rule 10b-5. Explores the changing standards of fraud under the federal securities laws and the application of those standards to participants in the securities market, such as underwriters, broker-dealers, investment advisers, corporate officers, tender offerors, and persons engaged in insider trading. NOTE: In Fall 2012 this course will be taught in the SEC headquarters building, 100 F Street, N.E., directly behind and to the northeast of Union Station. Students enrolled in this course will be joined in class by SEC lawyers who work in the building and who will be participating remotely from the SEC’s field offices. There is a security check at the door, so you will need your GoCard and a government-issued ID to enter. It is a four-block walk from campus to the SEC building. Students who have another class immediately before or immediately after Fraud and Fiduciary Duties under the Federal Securities Laws should be sure to leave enough time for the commute to and from campus.

Prerequisite: Securities Regulation.