(= B FIN 435) Law in Financial Market Regulation

Catalog description

This course examines the rationales and main features of regulatory law in financial markets, focusing on banking, securities, futures, options, and other capital markets. It discusses approaches to regulating investor and customer protection, financial institutions, and market structure. It examines relationships among change in financial markets such as financial innovations and regulatory structure and practice. The course discusses the roles of federal and state regulation, self-regulatory organizations and private associations, and firms within the regulatory system. Only one version may be taken for credit. Prerequisite(s): declared School of Business majors. Prior coursework in study of regulation and/or finance highly recommended.