Course Information

FRE6211 Financial Market Regulation

Credits: 1.50

This course considers the role and forms of regulation in the U.S. financial markets, the role of the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the Federal Reserve, the Office of the Controller of the Currency (OCC), and self-regulating organizations (SROs) such as the National Association of Securities Dealers and the National Futures Association. Also examined are the roles of the state insurance commissions and the STATE OR FEDERAL Department of Labor.

Prerequisites: FRE 6031 and Graduate Standing

Additional material: FRE 6211 FINANCIAL MARKET REGULATION.pdf