L8231 S. Capital Markets: Developments, Structure and Policies

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Course Limitations

Instructor Pre-requisites

Instructor Co-requisites

Recommended Courses

Other Limitations
Securities Regulation and/or Corporations recommended but not required

Learning Outcome Goals

Primary Goals

  • A practical introduction to the functions and regulatory structure of the US capital market and their interface with foreign regulatory structures and practices, ( eg, Asian, Latin Am. Canada & Australia).
  • The course will give students an understanding of an important and currently shifting body of the laws applicable to financial services entities, their service providers, and their policy concerns raised by recent dramatic events in the capital markets (e.g. The Panama Papers and off-shore ‘haven jurisdictions’, systemic corruption, Madoff-Ponzi schemes, front running, manipulation, Flash Trading, and other concerns).

Secondary Goals

  • At the end of the course, students will have acquired understanding of and/or facility in statutory and regulatory analysis, including close reading of statutes and regulations, and their application to facts in particular circumstances (e.g. SEC filings, investigations, settlements and trials – both administrative and court).
  • At the end of the course, students should have acquired an understanding of the historical development of the law and legal institutions involved in today’s financial markets. “Those who do not remember the past are condemned to relive it” (Santayana – loose translation).
  • Students should also gain an understanding of and/or facility in important lawyering skills, e.g., oral advocacy, legal writing and drafting, legal research, negotiation with regulators and adversaries, client communication, and case theory and planning.

General Information

Type: Seminar
Level: Upperclass