SEC Enforcement Externships

SEC Enforcement Externships

Available to: 3rd year students/ 2nd year students with special permission

SEC Enforcement Guidelines

Forms for students »

The primary objective of externships with the U.S. Securities and Exchange Commission–Division of Enforcement is to provide interested participants with an opportunity to gain valuable securities law experience while working with SEC staff on pending enforcement matters. Participants will collaborate with Division of Enforcement staff in the SEC’s Salt Lake Regional Office (“SLRO”) on a range of issues and tasks related to investigations and enforcement actions. Through this externship opportunity, participants can expand their knowledge of the statutes and rules that the SEC enforces and further develop practical legal skills in areas such as fact investigation and analysis, legal research, legal and other professional writing, project management and problem solving, and professionalism/ethics. Students interested in pursuing a career in securities, compliance, or regulatory enforcement may find this clinic to be particularly valuable. Whenever possible students will be simultaneously enrolled in the Current Issues in Securities or Business Law seminar in order to put their experiences in context and do further research and writing about securities law.  During a semester that course is not offered, students should be simultaneously enrolled in the Lawyering Skills course to learn and reflect upon the interactive and problem-solving skills required in their externship experience.

Pre- or Co-Requisites: One of: Securities Law:  Public Companies LAW 7013-001 or Securities Law:  Private Companies 7888-001 or Business Organizations 7050-001.

Courses:  Current Issues in Business Law (3 cr., graded, Spring) This one-of-a-kind seminar provides students with the opportunity to learn about and discuss ongoing research in law, business, economics, and finance, and to write a serious, scholarly paper of their own. The seminar is based around the work of prominent invited speakers. At most sessions, an invited speaker will present work in progress, and then take questions from students and faculty in the audience. Prior to the speaker’s visit, Professor Hwang and/or Professor Schwartz will teach and lead the class in a discussion of the topics in business law that form the basis of the speaker’s paper. Students will prepare a Seminar Paper satisfying that graduation requirement. Although the class is co-taught, each student will be assigned to one professor for supervision of their Seminar Paper.

Lawyering Skills (3 cr., graded, Summer, Fall, Spring) The basic lawyering skills of interviewing, counseling, negotiating and problem-solving will be taught using videotaped demonstrations, role-playing exercises, students videotaped performances, discussions and reflective writing. During the academic year, students should arrange to observe/engage in these lawyering skills in actual practice to reflect upon them. Such opportunities can be obtained through paid clerkships, the Pro Bono Initiative, or certain externship placements (Civil, Criminal, Mediation, SEC Enforcement).

Placements (P/F): Students enroll for 3-4 credits per semester.  The SEC prefers a two-semester experience.

Faculty: Professor Jeff Schwartz

Registration and Placement: Students should apply directly to the SEC for the Student Honors Program via USA Jobs and complete the application form and submit it with their résumé.

LAW 7800 Current Issues in Business Law                                   Spring: Mon. 3:10 – 5:10 p.m.

LAW 7920  Lawyering Skills                                                               Fall/Spring/Summer

LAW 7902  SEC Enforcement Clinic