387 Securities Litigation, Enforcement, and Compliance

This survey course is designed to acquaint you with the theoretical as well as practical aspects of federal securities litigation, enforcement, and compliance, which is a dynamic area of legal practice with a number of developments occurring on multiple fronts. This course will address the massive financial frauds at Enron, WorldCom, and other large companies that occurred as the twenty-first century dawned.  It also looks at the scandals that culminated in the 2008 financial crises, which led to Congress’s enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.  Additionally, it will look at more recent developments in the securities law area.  In short, this course will provide the grounding needed for you to enter a securities litigation, enforcement, or compliance practice.

Enrollment Pre-/Co- Requisite Information

Law 210 Business Associations is a pre- or co-requisite for this course.  Students taking this course may not take or have taken Law 575, Securities Litigation.

Course Areas of Practice
Evaluation Methods
  • Final Exam
  • Class participation
Degree Requirements
Course Type
  • Lecture
Learning Outcomes
  • Knowledge and understanding of substantive and procedural law

Spring 2023

2023
Course Number Course Credits Evaluation Method Instructor Meeting Days/Times Room

387.01 3
  • Final Exam
  • Class participation
Veronica Root Martinez MW 2:00 PM - 3:25 PM

This survey course is designed to acquaint you with the theoretical as well as practical aspects of federal securities litigation, enforcement, and compliance, which is a dynamic area of legal practice with a number of developments occurring on multiple fronts. This course will address the massive financial frauds at Enron, WorldCom, and other large companies that occurred as the twenty-first century dawned.  It also looks at the scandals that culminated in the 2008 financial crises, which led to Congress’s enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.  Additionally, it will look at more recent developments in the securities law area.  In short, this course will provide the grounding needed for you to enter a securities litigation, enforcement, or compliance practice.

Pre/Co-requisites

Law 210 Business Associations is a pre- or co-requisite for this course.  Students taking this course may not take or have taken Law 575, Securities Litigation.

*Please note that this information is for planning purposes only, and should not be relied upon for the schedule for a given semester. Faculty leaves and sabbaticals, as well as other curriculum considerations, will sometimes affect when a course may be offered.