Law 794:  Regulation of Brokers-Dealers & Futures Commission Merchants

This course compares how stock and derivatives brokerage firms are regulated. It will provide an excellent overview and introduction to the various securities and derivatives laws enacted by Congress  and the regulations promulgated by the SEC and the CFTC that apply to brokerage firms and how these laws and regulations are similar and how they are different. It will also examine the various litigation and enforcement actions taken against brokerage firms and the various trade practices that apply to brokerage firms.

Sequence and Prerequisites: None

Evaluation:  There will be no final exam but each student will be required to submit a final paper on a subject/topic agreed upon.