The Art and Science of Financial Regulation

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Fall 2014 Reading Group
Meets: Th 3:00pm - 5:00pm in WCC Room 3009
1 classroom credit

Financial services are subject to historic regulatory change. The Dodd-Frank Act is a case in point, although the legislation and the hundreds of rulemakings that it directs do not capture all that is underway and that can be anticipated. The regulatory developments taking hold impact banks, broker-dealers, asset managers, exchanges, credit rating agencies, investors, and others in the finance industry as well as operating companies that rely on banks and capital markets. This course will focus on these developments, including the state of the regulatory landscape and its impact on our capital markets, the role and mission of the SEC, and how the SEC operates in practice. The reading group instructor, Troy Paredes, previously served as an SEC Commissioner from August 2008 until August 2013.

Note: This reading group will meet on 9/11, with the remainder of meeting dates to be announced at the first meeting.

Subject Areas: Regulatory Law , Business Organization, Commercial Law, and Finance .