REGULATION OF BROKER-DEALER
This course delves into the complex world of broker-dealer regulation, exploring the legal and regulatory framework governing broker-dealers in the United States. The course will critically examine the statutory provisions, regulatory rules, and case law that shape broker-dealer conduct, with an emphasis on the Securities Exchange Act of 1934, FINRA rules, and SEC enforcement actions. Students will engage with contemporary issues and challenges facing the broker-dealer industry and will develop a nuanced understanding of the responsibilities, obligations, and best practices for broker-dealers, as well as the regulatory bodies that oversee them.
Develop an in-depth understanding of the regulatory framework governing broker-dealers in the United States.
Analyze the roles and responsibilities of various regulatory bodies in the enforcement and oversight of broker-dealer activities.
Critically assess the effectiveness of existing regulations and the need for potential reforms.
Examine contemporary issues, trends, and challenges in the broker-dealer industry.
Apply legal principles and concepts to practical scenarios and real-world cases involving broker-dealer conduct.