EXP: SEC Enforcement (Lechtman)
Faculty
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| Evan Lechtman Lecturer in Law lechtman@blankrome.com |
Additional Information
Experiential CourseYes
Skills Training
Other Professional Skills:
Grading
20% Participation,
80% Other (In Class Graded Activity No. 1: 40%
In Class Graded Activity No. 2: 40%)
No
Class meets in person.
Meeting Times/Location
W 6:40PM - 8:30PM
Silverman Hall 240B
Category
Upper-Level
Credits
2.0
This course will introduce students to the lifecycle of a complex Securities and Exchange Commission (“SEC”) investigation from inception through the Wells process. Students will be provided with an understanding of the issues lawyers commonly face in representing individuals/entities facing a SEC investigation. We will examine the investigative tools and strategies routinely employed by securities regulators, as well as approaches utilized by lawyers defending such investigations. We will consider a variety of common practice issues including: conducting an internal investigation; responding to SEC document subpoenas; conducting witness interviews; the application of various privileges (which are commonly implicated in such investigations); and preparing a Wells submission. Students will understand the inter-relatedness of the attorney-client and corporate privileges, the work product doctrine and the challenges in representing individuals/entities in the context of an SEC investigation. Students will gain practical knowledge of the issues and opportunities arising through interaction and negotiation with the SEC during the investigative process.
Business and Corporate Law Learning outcomes: Demonstrate a core understanding of business and corporate law; Perform legal analysis in the context of business and corporate law; Communicate effectively on topics related to business and corporate law; Demonstrate an understanding of the interconnection between the world of business and finance and that of business and corporate law, and how they affect other areas of law and society.
Courts and the Judicial System Learning outcomes: Demonstrate a core understanding of both substantive and procedural issues in the operation of our legal system; Perform legal analysis in the context of procedural issues and the judicial process; Communicate effectively on topics related to procedure and the judicial process; Demonstrate an understanding of how procedural issues and the judicial process affect all other area of our legal system.
Perspectives on the Law Learning outcomes: Demonstrate an understanding of how the law affects, and is affected by, the individual course topic; Perform legal analysis in the context of the individual course topic; Communicate effectively on the legal and other aspects of the individual course topic; Demonstrate the ability to use other disciplines to analyze legal issues relevant to the individual course topic, including economics, philosophy, and sociology, as appropriate.
Administrative and Regulatory Law Learning outcomes: Demonstrate a core understanding of administrative and regulatory law and the administrative process, including the role of statutory authorization and work of administrative agencies; Perform legal analysis in the context of administrative and regulatory law; Communicate effectively on topics related to administrative and regulatory law; Demonstrate an understanding of the role administrative and regulatory law play in our legal system and in society as a whole.