387.01 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.

Special Notes:


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.

Spring 2023

Course Number Course Credits Evaluation Method Instructor Meeting Day/Times Room
Course Credits
Final Exam
Class participation
Veronica Root Martinez MW 2:00 PM - 3:25 PM 3041
Sakai site: https://sakai.duke.edu/portal/site/LAW-387-01-Sp23
Email list: LAW-387-01-Sp23@sakai.duke.edu
Degree Requirements
Course Requirements - JD
Course Requirements - LLM
Course Requirements - Public Interest
Course Areas of Practice