Regulation of Securities and Commodities
This course provides an introduction to the regulation of securities and commodities professionals, including:
- the nature of operations of broker-dealers, futures commission merchants, and other market participants that are regulated as professionals;
- the products and market places;
- the jurisdiction of the various securities and commodities regulators and the self-regulatory organizations;
- the registration and membership requirements of securities and commodities professionals;
- capital and financial responsibility, margin and credit regulation and books and records of securities and commodities professionals; and
- clearing settlement, depositories, SIPC and the bankruptcy of securities and commodities professionals.
Course Information
Course #: | LAW 807 |
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Program: | LLM |
Area of Study: | Financial Services Law and Compliance |
Credit Hours: | Three credit hours. |