Broker-Dealer Regulation Seminar

Credits: 2.00
Faculty: James Fanto

Pre-requisites: Corporations. Securities Regulation is recommended but not required. A student may also make up for the lack of Securities Regulation through externships, clinical work, or employment/experience outside or before law school.

This seminar focuses on current issues in the regulation of the main professional of the securities markets, the broker-dealer. The seminar shall also deal with related issues in the regulation of investment advisers, since the line between the two categories is blurring. The legal focus will be on the Securities Exchange Act of 1934, with some reference to the Advisers' Act and the Securities Act of 1933, as well as regulations accompanying these acts and FINRA rules. There will be some introduction to the securities markets (e.g., NYSE, Nasdaq, and otc markets) where these professionals operate.

Grading and Method of Evaluation

Letter grade only. Students will be expected to do a classroom presentation and a seminar paper. The paper may be used to satisfy the Upperclass Writing Requirement.