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Fall 2023 Course

Regulation of Financial Institutions

Prerequisite:s None

Exam Type: One-Day Take-Home

This course explores the regulation of financial institutions and financial markets. Principal emphasis will be on the prudential regulation of banking organizations and their affiliates, with attention both to the economic and political rationales for regulation and to core statutory and regulatory doctrines. There will be briefer treatment of securities firms, asset managers and insurance companies. The course will also cover consumer protection and the oversight of systemic risk. While the primary focus of the course will be on financial regulation in the United States, there will be some attention to international aspects of financial regulation.