Regulation of Financial Institutions

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Fall 2013 Course
Meets: W 1:45pm - 3:00pm in WCC Room B015; Th, F 1:30pm - 3:00pm in WCC Room B015
4 classroom credits

This course explores the regulation of financial institutions in the United States, covering a range of firms including banks, mutual funds, securities firms, financial markets, and insurance companies. We will examine the many different supervisory mechanisms that have evolved in the United States to regulate financial services firms, with a particular emphasis on jurisdictional boundaries, the division of regulatory authority over the financial services industry, issues of consumer protection in mortgage lending and consumer credit practices, and the oversight of systemic risks.

Over the course of the semester, students will be expected to prepare one short reaction paper on a topic of current interest and also to take an in-class final examination.

Teaching materials will include a number of business school case studies as well as more traditional legal sources. Readings will be from Howell E. Jackson, The Regulation of Financial Institutions (current edition).

Subject Areas: Business Organization, Commercial Law, and Finance , Regulatory Law .

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