Introduction

Regulation of Broker-Dealer and Future Commission Merchants

In this seminar course, students examine federal and state laws and regulations impacting securities and futures brokerage firms.

Regulation of Broker-Dealer and Future Commission Merchants

Regulation of Broker-Dealer and Future Commission Merchants

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

Approved for the Writing Requirement.

2 Credits

PROFESSIONAL PATHWAYS

Business and Financial Services

Intellectual Property and Privacy

Government and Public Interest Law

General Practice / Chart Your Path

 

OTHER CRITERIA

Format

Credits

Graduation Requirements

X