Securities & Financial Regulation Certificate

There's no better place to study securities and financial regulation than Georgetown Law. Our campus is within walking distance of the SEC, the Federal Courts, and the Capitol. We are a short Metro ride to the other Federal regulatory agencies and the nation’s best law firms. Our faculty are experts in their fields and work at major firms or financial regulatory agencies.

The Certificate in Securities & Financial Law provides experienced lawyers with the opportunity to focus on securities and financial law and it offers lawyers who are just starting their careers a window into this dynamic area of law. Students earn ten credits selected from the Securities & Financial Law curriculum. 

U.S.-trained lawyers can earn the certificate in conjunction with the International Business & Economic Law LL.M. degree, or on a standalone basis.

For foreign-trained lawyers, the Certificate in Securities & Financial Law allows students to have a concentration in this area of law, within either the General LL.M. or the International Business & Economic Law LL.M., and also gain exposure to U.S. law and/or business law more broadly. 

Degree Requirements and Curriculum

For the 2018-19 Academic year, the following classes count toward the requirements for the Securities & Financial Law Certificate. Ten credits are required to earn the Certificate. Foreign-trained lawyers must take Securities Regulation as part of the 10 credits to earn the Certificate.  U.S.-educated students who have not yet taken Securities Regulation as part of their J.D. degree must take it prior to or simultaneously with their first Certificate classes, but it will not count toward the total of 10 credits needed for the Certificate.

  • Basic Accounting for Lawyers
  • Beyond the IPO: Exempt Securities Offerings
  • Complex Securities Investigations
  • Consumer Finance
  • Derivatives Market Regulation Under Dodd-Frank
  • Emerging Legal & Regulatory Issues in International Oil & Gas and Energy Industries
  • Disclosure Under the Federal Securities Laws
  • Employee Benefits: Executive Compensation
  • Energy Trading & Market Regulation
  • Federal Regulation of Financial Institutions
  • Financial Products in a New Regulatory Environment
  • Fintech Law & Policy
  • Fraud & Fiduciary Duties Under the Federal Securities Laws
  • Global Derivatives Law & Regulatory Policy
  • Global Securities Offerings
  • Hedge Funds, Private Equity Funds and Other Private Funds
  • Implementation of Financial Market Reform Legislation
  • Initial Public Offerings
  • International Banking in the United States
  • Money Managers: Fiduciary Duties, Federal Agencies’ Regulation and Avoiding Fraud
  • Regulation of Derivatives
  • Rethinking Securities Regulations & the Role of the SEC
  • SEC Enforcement Process
  • SEC Regulation of Financial Institutions and the Role of the Securities Markets
  • Securities Arbitration & Mediation
  • Securities Regulation
  • Takeovers, Mergers & Acquisitions
  • Venture Capital, Private Equity, and Entrepreneurial Transactions
  • White Collar Crime & Securities Fraud