Courses

    This course will explore all aspects of the enforcement process, from both the government and private practitioner's perspective, with emphasis on the Commission's procedures in first conducting an investigation and then either settling or litigating an enforcement action. Through selected examples of significant enforcement actions, the class will stress the private practitioner's counseling considerations at strategic junctures in the enforcement process. The variety of actions available to SEC, in different venues, and the breadth of related remedies available in those actions, will be a particular focus, as will the issues that arise in litigating an enforcement action. Developments in self-regulatory organization enforcement and criminal prosecution of federal securities law violations will also be considered.