COURSE REQUIREMENTS
Securities Law Program Certificate Requirements
Required Courses

  • Administrative Law, 3 credits (Fall 2023 and Spring 2024)
  • Corporations, 3 credits (Fall 2023)
  • Introduction to Securities Law, 3 credits (Fall 2023)

Electives - Three Required

  • Advanced Securities Regulation (Spring 2024)
  • Corporate Finance Seminar (offered on rotating basis)
  • Digital Assets/Cryptocurrency (offered on rotating basis)
  • Mergers and Acquisitions (offered on rotating basis)
  • Securities Reg.: Civil Litigation, 2 credits (offered on rotating basis)
  • Securities Reg.: Compliance, 3 credits (Spring 2024)
  • Securities Markets Regulation Seminar, 3 credits (offered on rotating basis)
  • Securities Reg.: Derivatives Seminar, 2 credits (Fall 2023)
  • Securities Reg.: Enforcement Procedures and Issues, 2 credits (Spring 2023)
  • Securities Regulation: Mutual Funds and Investment Advisers Act, 2 credits (Fall 2022)
  • Securities Regulation: Securitization of Assets - A Transactional Approach, 2 credits (Spring 2024)
  • Wealth Management (Spring 2024)

Co-Curricular Courses - Two Recommended

  • Antitrust
  • (Spring 2024) Banking Law (offered on rotating basis)
  • Bankruptcy (offered on rotating basis)
  • Commercial Transactions (Fall 2023 and Spring 2024)
  • Compliance, Ethics and Corporate Responsibility (Fall 2023)
  • Conducting Internal Investigations (Spring 2024)
  • Corporate Tax (offered on a rotating basis)
  • Financial Institutions Regulation (offered on rotating basis)
  • Information Privacy (Spring 2024)
  • International Business Transactions (offered on rotating basis)
  • International Corruption and Compliance (Spring 2024)
  • Law and Public Policy (offered on rotating basis)
  • Legal Accounting or Accounting for Securities Lawyers (offered on rotating basis) Legislation:
  • The Making of a Federal Statute (offered on rotating basis)
  • Partnership Taxation (offered on rotating basis)
  • Risk Management, Audit and Financial Controls (Spring 2024)
  • Statutory Interpretation: Regulatory Analysis in the Administrative State (offered on rotating basis)
  • Tax on Wealth Transfers/Estate Planning (offered on rotating basis)
  • Unincorporated Business Organizations (offered on rotating basis)
  • White Collar and Business Crimes (Spring 2024)

EXTERNSHIPS - Two Required

Students complete two externships, one of which must be taken for academic credit (unpaid). Students may complete the experiential learning requirement in one of two ways:
1.Externship: Students may enroll in one externship in the areas of securities and/or corporate law for academic credit. To earn academic credit, students must be enrolled concurrently in the courses: Becoming a Lawyer for 1 credit course (classroom component) and Legal Externship for 2 or 3 credits (120 hours or 180 hours of fieldwork). Students must consult with the Jack W. Murphy, director of the Securities Law Program, before undertaking to select an externship and must obtain approval from the Director for the field placement proposed to satisfy the experiential learning requirement.

Students interested in pursuing a legal externship for academic credit should review the handbook on the Legal Externship Program; 2023 Legal_Externship_Handbook.pdf (law.edu). The contact for Legal Externship is Bryan McDermott, Assistant Dean for Academic and Bar Support, Email: mcdermottb@law.edu and Phone: 202-319-5996.
Note: Students may satisfy the second externship with a paid externship.
 
2. United States Securities and Exchange Commission (SEC) Scholars Program: Students interested in the
SEC Scholars Program must apply via usajobs.gov. The Program is a specialized ten-week externship for
3 credits that provides students from area law schools with an introduction to the Securities and Exchange
Commission's regulation of securities and securities markets. Second, third, or fourth-year students who have completed the course in Corporations are eligible for selection by representatives of the SEC to participate in this very competitive program. Each student selected is assigned to one of the divisions of the SEC headquarters in Washington, D.C.

Student are assigned to work with SEC staff members on projects involving a broad range of the commission's work. Past projects have included investigation of industry and issuer practices, litigation of civil enforcement actions, administrative proceedings, and drafting proposed statutes and rules. SEC staff members serve as professional mentors, assisting with research and writing projects as well as providing advice and guidance on career development. Catholic Law students are required to attend seminars, workshops, and commission meetings as a part of their service at the SEC.
To receive academic credit for the SEC Scholars Program externship, students must register for the SEC
Scholars Program – Catalog No. 937.
To apply please visit the SEC Scholars Program website. You will be notified of the time and place of these sessions by Dean McDermott.

WRITING REQUIREMENT
To receive a certificate in Securities Law, students must complete a writing requirement. There are five
ways to achieve this.
  1. A major paper may be written as part of the coursework needed for the Securities Law
    certificate.
  2. A two-credit Directed Research project may be conducted on a Securities-related issue. (The
    Director must approve the paper topic in advance.
  3.  A securities regulation-related note or comment may be submitted for publication.
  4. Participation in the Securities Moot Court team competition in the Spring may also qualify for the writing requirement, as determined by the Director in consultation with the Securities Moot Court Administrator(s).
  5. Portfolio writing experience as part of a Securities course.

CO-CURRICULAR ACTIVITIES

All certificate program candidates need to maintain an active presence in the Securities Program. This presence can be satisfied by attending the Securities Program Lectures, assisting in administering the mentor/mentee program of the Securities Program; assisting in administering the Moot Court Program or participating in the Moot Court Competitions; helping to coordinate one of the Securities Program lectures. In addition, all certificate candidates are expected to certify that they attended at least one- half of the lectures presented annually by the Securities Law Program. Each certificate applicant will be responsible for keeping a record of completion of the required co-curricular activities, which will be presented to the Institute Office for verification.
 
Peruse the website for more information on the Securities Law Program. To apply to the Program,
complete and submit the on-line application.