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.
Course Information
Course #: LAW 807
Program: LLM
Area of Study: Financial Services Law and Compliance
Credit Hours: Three credit hours.