Capital Markets Regulation

Catalog description

This course aims to provide a practical understanding of the regulatory framework that governs the capital markets of the United States, that is, capital market structure and the regulation of trading. This course will focus on regulatory policy with respect to the capital markets, with an emphasis on current hot topic issues. By the end of the course, students will understand the regulatory framework of the domestic capital markets and the key rules and practices that govern the industry. Relationships among the market centers, SROs, and the SEC will be discussed in the context of current regulatory, enforcement, and compliance issues. Emerging paradigms, including digitization, tokenization, and cryptocurrencies, will be explored. Recommended classes: LAW 7060 , LAW 7056 .