LAW 6041 - Broker-Dealer and Investment A

Institution:

Villanova University

Subject:

Description:

Description: PREREQUISITES: Business Organizations (7110) and Securities Act 1933 (7075) 3L ONLY Course This course explores the operation and regulation of the US securities markets and financial services providers and their employees. Coverage includes the application of federal, state and self regulatory organization (SRO) regulatory regimens, including the National Association of Securities Dealers and New York Stock Exchange, to broker-dealers and investment advisers. Topics include modern market organization, regulatory focus and scope, broker-dealer and investment adviser registration, the duties owed to clients by various financial services providers, and standards imposed on providers for investment recommendations, suitability, churning, and in the dispute resolution process. A substantial research paper will be required. 2.00credit(s) Restrictions: Must be enrolled in one of the following Levels: Law School

Credits:

3.00

Credit Hours:

Prerequisites:

Corequisites:

Exclusions:

Level:

Instructional Type:

Lecture

Notes:

Additional Information:

Historical Version(s):

Institution Website:

www.villanova.edu

Phone Number:

(610) 519-4500

Regional Accreditation:

Middle States Association of Colleges and Schools

Calendar System:

Semester

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