COMPLIANCE AND ETHICS IN THE SECURITIES INDUSTRY
This advanced law course delves deep into the regulatory framework, ethical considerations, and compliance practices within the securities industry. It aims to offer students a thorough understanding of the legal underpinnings that guide securities regulation and the ethical challenges that industry professionals encounter. This course is designed for students and professionals interested in corporate law, securities regulation, or compliance roles within financial institutions.
Course Objectives:
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To impart a comprehensive understanding of securities laws, including the Securities Act of 1933, Securities Exchange Act of 1934, and other pivotal laws and regulations.
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To examine the role of key regulatory agencies like the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
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To provide an in-depth exploration of ethics and compliance practices in securities trading, investment advising, and corporate disclosures.
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To discuss the evolution and challenges of compliance programs and the role of compliance officers.
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To critique and analyze case studies involving violations and enforcement actions.