Exam: No exam.
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 directed do not capture all that has been underway and that is still to come. The regulatory developments taking hold impact banks, broker-dealers, mutual funds, hedge funds, private equity funds, 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 financial regulatory landscape and its impact on our capital markets, the role and mission of the SEC, and how the SEC operates in practice. Troy Paredes, who will be teaching the course, will offer an insider’s view, having served as an SEC Commissioner from 2008-2013.
Note: The class will meet 6 times during the semester. Although a couple of the dates might change, the present plan is to meet on the following dates: September 21, October 5, October 19, October 26, November 2, and November 9. Reading assignments will be posted in advance of each class.
Drop Deadline: September 22, 2015 by 11:59 pm EST