Regulation of Financial Institutions

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Fall 2014 Course
Meets: W, Th, F 1:20pm - 2:50pm in WCC Room B010
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, and insurance companies, as well as financial markets more generally. 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, ongoing reforms in prudential regulation, consumer financial protection, and the oversight of systemic risks.

In November, Margaret E. Tahyar, a senior member of the Davis Polk Financial Institutions Group, will lead a two-week module in the course focusing on issues related to the implementation of the Dodd-Frank Act of 2010.

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 several case studies raising issues of current policy concern as well as more traditional legal sources. Readings will be from Barr, Jackson & Tahyar, The Regulation of Financial Institutions (forthcoming).

Note: Class will meet for 2 hours from 1pm to 3pm on November 5 through November 14.

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

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