This course provides an introduction to the legal, regulatory, and ethical issues arising in the functioning and operation of financial markets. Topics include fiduciary responsibilities, role of self-regulatory organizations, "suitability" of investments, and the use of control of "insider" information, as well as a broad overview of U.S. securities and commodities laws and regulations. The course is structured to provide a functional understanding of market participants' duties to the public, clients, and employers.
(cross-listed at FM 504, Stuart Graduate School of Business)
|Course #:||LAW 800|
|Area of Study:||Financial Services Law and Compliance|
|Credit Hours:||Three credit hours.|