Securities Trading and Sales
This course will analyze the various federal and state laws affecting financial transactions, with a heavy emphasis on securities transactions. The course will explain in detail the regulatory framework and anti-fraud provisions that apply to trading and sales, research, conflicts of interest, electronic trading, new issues, AML, books and records, margin and capital. The course will also explain in detail the role of exchanges and clearing, including the use of dark pools, ECNs and alternative trading systems. The course will also discuss how contracts are used and negotiated and how securities and derivatives contracts are traded and regulated both here in the US and globally.
This course is for the LL.M. in Financial Services Law program but will also be open to J.D. students who have taken either the Securities Regulation course or the Regulation of Broker-Dealers and FCMs course.