Overview
It requires that you choose a current event relevant to the topics we will study in class, and write a short (maximum of 10 pages, double-spaced) research paper describing what happened, the relevant legal, regulatory, and ethical considerations, and the significance of the event -- for the securities industry, for the issuer (or securities professional involved), for the law, and for you.
Choosing Your Current Event: The current event should have been in the news within the last twelve (12) months. To find a topic of interest, start reading the financial and business news now. You might also visit the SEC’s website (enforcement press releases), or any of the many blogs on securities regulation, white-collar crime, or public corruption available on the Internet. Once you find a significant news story, research it more deeply, reviewing the relevant court or regulatory filings, media write-ups, and the applicable statutes and/or regulations. Your event may be a case that has already gone to court. It may be an investigation, a proposed new rule or regulation, or any other news story that highlights or illuminates regulatory and/or ethical issues we discuss in class.
What to Include in Your Research Paper: The goal is to demonstrate meaningful application of the law to facts and critical thinking about the legal and ethical issues presented by the event. Your paper should have a title and index (or table of sections), and should include:
• EXECUTIVE SUMMARY -- succinctly describe (in a single paragraph) the event, its importance, and the organization of your paper
FACTS -- a detailed factual description of the current event
LAW -- a description and critical analysis of any applicable laws and/or regulations, including elements required to prove a legal violation
- DISCUSSION/ANALYSIS -- a critical analysis of the current event – is the
- reported conduct illegal or unethical? Why? Why is the event important to the securities industry? What companies will care about this event? What will be its likely impact? If there is litigation, who should win? Why?
- • CONCLUSION -- your conclusion regarding the cause, significance, and lessons drawn from the event, and your recommendations
BIBLIOGRAPHY -- a detailed listing, in proper form, of the published sources you consulted in researching and preparing your paper CREDIT YOUR SOURCES: Be sure to indicate by source citation in the body of your paper, in proper form, the source or sources for each and every idea and piece of information that you obtain from sources rather than your own personal observation and original insight.
Format Specs: Your paper should comply with the following specifications: