Securities Law

Securities Law

1. identify the provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 that deal with secondary liability both as control person and/or an aider or abettor.

2. Analyze the cases both in the courts and in SEC Administrative Proceedings regarding the elements needed to be proven to impose secondary liability in enforcement cases both as control person and/or aider and/or abettor prior to the Dodd Frank Reform Act of 2010.

3. Identify those provisions of the Dodd Frank Reform Act of 2010 that relate to these issues and explain the impact of the statutory amendments on these issues in general and as reflected in post-Dodd Frank cases.

4. Analyze to what extent the United States Supreme Court case of Janus Capital Group v. First Derivative Traders, 2011 U.S. LEXIX 4380, 131 S. CT. 2296 (2011) can be applied to SEC enforcement cases (as distinguished from private litigation) referencing all SEC cases in the courts and administrative proceedings decided subsequent to Janus that deal with secondary liability in general and the impact of Janus in particular.

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