RPad 436 - Regulation of Securities Markets

Institution:

SUNY at Albany

Subject:

Description:

This course examines the history, organization, and central issues of securities market regulation in the United States. The course discusses the roles of federal and state regulation, self-regulatory organizations, and firms within the regulatory system. Topics include, but are not limited to, the history and main principles of federal securities statues; examinations and supervision by different levels of the regulatory system; and the relationships among change in financial markets such as financial innovations and regulatory structure and practice.

Credits:

3.00

Credit Hours:

Prerequisites:

Corequisites:

Exclusions:

Level:

Instructional Type:

Lecture

Notes:

Additional Information:

Historical Version(s):

Institution Website:

www.albany.edu

Phone Number:

(518) 442-3300

Regional Accreditation:

Middle States Association of Colleges and Schools

Calendar System:

Semester

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