Broker Dealer Regulation
Broker-dealer regulation explores the federal and state laws and the self-regulatory system and rules under which brokerage firms and their associated persons operate. We take a pragmatic look at the challenges faced by the brokerage industry and the lawyers who advise retail, institutional and investment banking firms. Topics include who needs to register, the scope of a broker's duties, suitability, compliance, supervision and supervisory controls, the various forms of and limitations on broker compensation, managing conflicts of interest, controlling inside information, record-keeping and reporting, electronic trading, enforcement proceedings, arbitration and litigation, and the role of brokerage firms in capital markets transactions. The course is conducted in an informal seminar style and requires a paper, in lieu of exam, which may be used to satisfy the writing requirement.Credits: 2
Type: SEM
Does this course satisfy the writing requirement? Yes
Does this course satisfy the skills requirement? No
When is this course offered? Fall and Spring semesters
Is this course open to LL.M. students? Yes
Do the credits of this course count toward the specialized program credits that students need for the Banking, Corporate & Finance Law LL.M. Program? Yes
| Partial list of professors who teach or have taught this course: | |||
| Rocklen, Kathy H. | Spring 2010, Spring 2011 | ||
| MacDonald, Judith & Caridi, Joan | Fall 2009 | Download syllabus (PDF) |
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| Caridi, Joan & MacDonald, Judith | Fall 2010 | ||
