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LEGAL WRITING I (LEGAL RESEARCH AND WRITING - 1030)
2 credits
The first course in a two-semester sequence, this course teaches students legal writing, research and analysis. The course focuses on predictive legal writing. Students prepare several closed-universe, predictive writing assignments, and rewrite at least one assignment based on the professor's feedback. Grades are based primarily on writing assignments.
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LEGAL WRITING II (LEGAL RESEARCH AND WRITING - 1010)
2 credits
The second course in a two-semester sequence, this course further develops students' writing, analytical, and research skills. The course focuses primarily on persuasive legal writing but may include a further predictive writing assignment. It also introduces students to oral advocacy. Students prepare several open-universe writing assignments and rewrite at least one persuasive writing assignment based on the professor's feedback. Students also conduct an oral argument. Grades are based primarily on writing assignments.
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REG.OF INVEST.COMP.&INVEST.ADV (BUSINESS AND FINANCE LAW - 3020)
2 credits
This course will address the federal regulation of investment companies including the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Particular attention is devoted to the definition of a mutual fund, organizing a mutual fund, restrictions on affiliated transactions, investment objectives, distribution practices, including fund "supermarkets" and prospectus disclosure requirements. The course also covers issues relating to the independence of directors, governance rights of shareholders, advisory fees and expenses, codes of ethics, and trading practices. Class discussion will examine the roles of in-house counsel to the fund manager, and independent counsel to the fund and its disinterested directors. Grades are based upon a final examination.
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SECURITIES ARBITRATION CLINIC (ADVOCACY AND LEGAL SKILLS - 5050)
4 credits
The Securities Arbitration Clinic is a one-semester in- house, live-client, clinical program available to second and third year students. The Clinic will assist under-served New York small investors with securities disputes in arbitration before the two primary self-regulatory organizations ("SRO") in the securities industry, the Financial Industry Regulatory Authority (FINRA). The students will provide representation in, among other things, churning and failure to supervise cases under the Rules and Procedures of unauthorized trading, unsuitability, misrepresentation, and FINRA and relevant state and federal securities laws. Students provide representation from initial client contact through confirming or vacating arbitration awards in court. Students may perform client and witness interviews, conduct full-scale investigations, perform trading and suitability analyses, perform legal research, draft all pleadings including statements of claim, answers, replies, and motions; particpate in discovery; attend pre-hearing conferences, represent clients at arbitration hearings and at court hearings; represent clients at mediations and settlement negotiations and draft settlements. Students will develop essential lawyering skills, substantive legal knowledge and professional responsibility while representing clients. A Clinical Professor supervises students in all aspects of client representation. Clinic students are required to attend a weekly 2-hour seminar component. Additionally, students are required to work in the Clinic 13 hours a week. The Clinic is located at the St. John's Queens campus. Students will be selected based upon an interview with the professor and submission of a resume, cover letter, writing sample and transcript.