The LL.M. in Financial Services Law offers more than 50 different courses involving all aspects of the laws, regulations, business, products, agreements, structure, and practices affecting financial institutions. LL.M. degree and nondegree students may take any of these elective courses.
A complete list of all of the courses in the Financial Services LL.M. program curriculum is provided below. Please note that not every course listed will be taught each year and that additional courses may be added to the curriculum for the LL.M. in Financial Services Law.
The schedule of courses for the Spring 2014 semester may be found here.
The course grid for the Spring 2014 semester may be found here.
Candidates must also choose among one of the four areas of concentration.
- Asset Management – includes the regulation and structure of mutual funds, money managers, hedge funds, private equity funds, and their trading strategies.
- Banking – includes the regulation and structure of banks, bank holding companies, thrifts, and other financial institutions on a global basis.
- Capital Markets – includes the regulation and structure of brokerage firms and exchanges, analysis of the products traded on and off exchanges, and investment banking practices.
- International Regulation – includes the laws, regulations, and policies of all financial institutions located outside the United States and how U.S. financial institutions are regulated when doing business globally.
A selection of courses offered in each area of concentration may be found here.
The balance of the required academic credits can be earned by taking any other LL.M. courses being offered.
Financial Services Law Courses
- Advanced 1940 Act Issues Involving Mutual Funds, ETFs, and Closed-End Funds
- Advanced Financial Services Law Research Seminar
- Audit, Examination, and Inspection Proceedings Involving Financial Institutions
- Bank Holding Company Act
- Banking Law
- Bank Secrecy Act and Anti-Money Laundering Regulations
- Compliance Issues Facing Global Financial Services
- Consumer Credit and Financing
- Corporate Finance
- Correspondent Clearing Issues
- Criminal Prosecutions Affecting Financial Firms – From a Defense Perspective
- Derivatives Documents – Mastering the Master Agreement
- Derivatives Law – An Introduction to Basic Concepts
- Derivatives Market Regulation Seminar
- Employment Law and Executive Compensation Issues in the Financial Industry
- Energy Laws and Regulations
- Financial and Regulatory Crisis – Special Topics in Business Law
- Financial Services Regulation in the European Union
- Hedge Funds: Regulation and Structure
- Hedge Funds II: Drafting and Negotiating Agreements
- Insolvency of Financial Institutions
- International Banking Law
- International Finance
- International Real Estate
- International Taxation of Business
- Mergers and Acquisitions
- OTC Swaps Clearing
- Prime Brokerage and Securities Financing
- Private Capital Markets
- Private Equity Funds
- Real Estate Transactions and Finance
- Regulation of Broker-Dealers and Futures Commission Merchants
- Regulatory Investigations and Enforcement Actions – From a Defense Perspective
- Regulatory Policy
- Securities Litigation – From a Defense Perspective
- Securities Regulation
- Securities Regulation: Federal Regulation of Mutual Funds
- Securities, Structured Finance, and Capital Markets
- Taxation of Financial Instruments
- Workouts, Foreclosures, and Bankruptcy