Government Regulation of Financial Services

LAW JD 864

This course will compare the legal and regulatory frameworks for the four major types of financial institutions in the United States: banks, broker-dealers, investment companies and insurance companies. The course will identify the essential economic activities of each type of financial institution and, in so doing, provide the context within which students can understand the fundamental purposes that underlie the legal rules that govern in each area. This study will draw comparisons and contrasts among the different regulatory approaches that apply. The course will explore the different forms of regulation that govern financial institutions, including disclosure rules, prohibitions or restrictions aimed at potential conflicts of interest, limitations on activities, capital requirements, limits on risk taking, price regulation and corporate governance requirements. Attendance at the Graduate Program in Banking and Financial Law's two-day program, "Financial Services Basics," is highly recommended. Contact their office to confirm dates and to register.

FALL 2014 Schedule

Section Instructor Location Schedule Notes
A1 Roiter TR 2:30 pm-3:55 pm Stamped Approval

Note that this information may change at any time. Please visit the Student Link for the most up-to-date course information.