Investor Protection

The U.S. Securities and Exchange Commission (SEC) has a three-pronged mission: investor protection; maintaining fair, orderly and efficient markets; and facilitating capital formation. This seminar will focus on the investor protection prong of that mission, as applied to the typical Main Street investor. Each week, students will investigate different aspects of investor protection, including: Who is the typical investor, why do they invest, and what does their investment portfolio look like? What does it mean to protect investors? Do regulatory limitations on certain investments harm or benefit typical investors? What sources of information do investors rely upon in making investment decisions? How does technology impact investor protection? Should all investors be regulated in the same fashion? How do race, ethnicity, gender, and socio-economic status intersect with investor protection? As we explore these questions, we will also discuss the existing regulatory framework upon which these topics are based and explore the costs and benefits of (and alternatives to) those regulations. Over the course of the semester, students will research an investor protection topic of their choosing that will culminate in a final paper suitable for publication