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Apr 16, 2024
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LAW 2934 - Regulation of Securities Broker/Dealers
This course explores the regulatory regime that applies to securities markets and broker-dealers. The primary focus is on federal regulation and self-regulatory organizations such as the New York Stock Exchange and National Association of Securities Dealers, although there is some coverage of state securities regulation. The primary federal statute examined is the Securities Exchange Act of 1934, as well as the SEC rules promulgated thereunder. Topics covered include the definition of a stock exchange; current proposals involving alternatives to stock exchanges and the NASDAQ; substantive regulation of broker-dealers in such areas as registration and licensing, financial responsibility and margin requirements and the duty to supervise; insider trading and broker-dealers; fraud and fiduciary duties (both federal and state) of broker dealers; market conduct issues involving broker-dealers, such as markups, market manipulation, recommendations, suitability and churning; and arbitration. Grades are based upon a paper.
Prerequisites & Notes
None, although completion of Business Organizations is recommended.
Credits: 2
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