FINANCIAL LAW AND REGULATORY POLICY (2) (BUS 750)

Professor Houman Shadab

This seminar provides a survey examination of the structure, policies, and rules of the major U.S. financial regulators, ongoing reform efforts, and related litigation, contracting, and supervisory issues.
The goal of the course is to give students a broad base of knowledge about the transactions, institutions and market microstructures involved in modern finance along with the regulation of banking, securities, derivatives, and investment fund activities. From this base of knowledge lessons will be drawn for lawyers in their respective roles as litigators, dealmakers, and financial regulators. Each class will typically require students to read an authoritative primer on a particular topic coupled with an additional reading such as a proposed regulatory rule or litigation materials. Students will be asked to reflect on the materials and discuss their relevance to the practicing lawyer. Interactive graphical materials, speeches, testimonies, and interviews with policymakers and other forms of visual presentation will also be utilized and assigned. Guest speakers will likely participate.
Enrollment is limited. No formal prerequisites are required. Students are required to write a paper that demonstrates expertise on an issue relevant to attorneys practicing in the financial services field. This course can be taken on a stand-alone basis or serve as the basis for or bridge between more specialized courses in business and financial law.