Courses

    This course presents a survey of securities regulation that digs deeper and goes beyond your introductory securities regulation course. Lessons will focus on a range of important areas of concern for the securities lawyer such as: Sarbanes-Oxley requirements; broker-dealer regulation and related FINRA compliance issues; investor relations issues; investment adviser regulation; insider trading, so-called "outsider trading," market manipulation; SEC enforcement investigation and process topics; and criminal prosecution and investigation issues. This course will present the nuts and bolts of the securities laws of each of these areas, with a strong emphasis on recent SEC developments and emerging items of controversy, reform or public interest. Given the professor's goal to insure that students are kept informed about the hottest, up-to-the-minute SEC regulation issues, the professor will begin most classes with a 30-minute discussion of current events pertinent to the topics of this syllabus. Though the emphasis will be on the practical (i.e. the realities of a securities practice), the course will also often venture into some of the more theoretical issues of securities regulation, in particular, recent interesting SEC legal positions and arguments. Most importantly, given the rapidly changing technological aspects of the securities marketplace, this course will provide students with the requisite tools to handle future, unforeseen legal issues that they will undoubtedly encounter after graduation. You can find a complete description of the course and all required materials (downloadable and free of charge) at www.johnreedstark.com.