Regulation

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 Information
Course #: LAW 800
Program: LLM
Area of Study: Financial Services Law and Compliance
Credit Hours: Three credit hours.