FINANCIAL SERVICES SEMINAR & WORKSHOP (2) (BUS 899 & BUS 900)

Professor Ron Filler

Each week various industry experts speaking on a variety of current legal, business and regulatory issues will meet with students in the seminar portion of this course. Students will be required to work 12 hours per week with a government agency or financial services firm (exchanges, brokerage firms or hedge funds) in a legal/compliance area in the workshop portion. Pre-requisite: Securities Regulation or Derivatives Market Regulation Seminar. A final paper is required for the seminar. The two credits of the seminar portion of this course are letter graded and the two credits of the workshop portion are graded on a pass/fail basis.