Regulation of Securities and Commodities

This course provides an introduction to the regulation of securities and commodities professionals, including:

1. the nature of operations of broker-dealers, futures commission merchants, and other market participants that are regulated as professionals;
2. the products and market places;
3. the jurisdiction of the various securities and commodities regulators and the self-regulatory organizations;
4. the registration and membership requirements of securities and commodities professionals;
5. capital and financial responsibility, margin and credit regulation and books and records of securities and commodities professionals; and
6. clearing settlement, depositories, SIPC and the bankruptcy of securities and commodities professionals.