Introduction to Financial Regulation and Policy

Catalog description

This course will serve as an introduction to the market and regulatory architecture of the entire U.S. financial sector, from banks, insurance companies, and broker-dealers, to asset managers, fintech companies, complex financial conglomerates, and government-sponsored enterprises. It will explore the jurisdictions and activities of the relevant federal regulators – including the SEC, CFTC, OCC, Federal Reserve, Treasury Department, CFPB, FDIC and NCUA – as well as state banking, insurance and securities regulators. The course will devote special attention to the emerging fintech sector due to its propensity to disrupt established institutions as well as the regulatory architecture writ large.