Government Regulation of Financial Services


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 three-day program, "Financial Services Basics," is highly recommended. The program will meet on August 30 to September 1, 2016. Admission is free but registration by 8/1/2016 is required. GRADING NOTICE: This class does not offer the CR/NC/H option.
Fall 2016: LAW JD 864 , Sep 6th to Dec 8th 2016
A1Eric D. Roiter3Tue,Thu2:30 pm - 3:55 pm