This course thoroughly examines all of the various federal (SEC and CFTC) and state laws and regulations, and exchange and self-regulatory organizations (FINRA and NFA) that impact securities and futures brokerage firms, introducing brokers and salespersons. This course provides detailed analyses on such issues as exchange memberships, registration requirements, net capital, customer protection rules, execution and clearing issues, all from both a U.S. and global perspective.

In this seminar course, students examine federal and state laws and regulations impacting securities and futures brokerage firms. Students are expected to complete a substantial research and writing assignment as part of this course.

Recommended for the following Professional Pathways: Financial Services and Compliance

Pre-requisites: Corporations

2 Credits