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Course Criteria
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2.00 Credits
2. 000 Credit Hours 2. 000 Lecture hours Levels: Graduate Business, Master of Laws, Law Schedule Types: Lecture Chicago- Kent College of Law College Law Department
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2.00 Credits
2. 000 Credit Hours 2. 000 Lecture hours Levels: Graduate Business, Master of Laws, Law Schedule Types: Lecture Chicago- Kent College of Law College Law Department
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2.00 Credits
2. 000 Credit Hours 2. 000 Lecture hours Levels: Graduate Business, Master of Laws, Law Schedule Types: Lecture Chicago- Kent College of Law College Law Department
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2.00 Credits
2. 000 Credit Hours 2. 000 Lecture hours Levels: Graduate Business, Master of Laws, Law Schedule Types: Lecture Chicago- Kent College of Law College Law Department
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2.00 Credits
2. 000 Credit Hours 2. 000 Lecture hours Levels: Graduate Business, Master of Laws, Law Schedule Types: Lecture Chicago- Kent College of Law College Law Department
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2.00 Credits
This course provides an introduction to the legal, regulatory, and ethical issues arising in the functioning and operation of financial markets. Topics include fiduciary responsibilities, role of self regulatory organizations, suitability of investments information, as well as a broad overview of US securities and commodities laws and regulations. The course is structured to provide a functional understanding of market participants' duties to the public, clients, and employers. 2. 000 Credit Hours 2. 000 Lecture hours Levels: Graduate Business, Master of Laws, Law Schedule Types: Lecture Chicago- Kent College of Law College Law Department
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3.00 Credits
This course provides a foundation in the basics of securities law for attorneys who have not been exposed to the field before beginning the Graduate Program. It is required of all students unless they took such a course for their JD or have had sufficient experience in practice to warrant a waiver of this requirement from the director of the program. The course provides an overview of the securities markets, and gives a detailed analysis of the registration and distribution process under the Securities Act of 1933. Included are exempted securities and exempted transactions as well as reorganizations, recapitalizations and offerings by underwriters and dealers. An overview of the Securities Exchange Act of 1934 is provided, including an examination of the trading activities of broker-dealers. 3. 000 Credit Hours 3. 000 Lecture hours Levels: Graduate Business, Master of Laws, Law Schedule Types: Lecture Chicago- Kent College of Law College Law Department
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3.00 Credits
This course will examine the history of the commodities industry and the Commodities Exchange Act as amended. It will also discuss the operations and duties of the CFTC, the NFA, and the commodities exchanges, including their enforcement and investigatory activities, their structure and their current and proposed regulations; the use of the futures markets by hedgers; the jurisdiction of the CFTC versus the SEC and the states; the registration requirements of various entities with the CFTC; arbitration and reparation procedures; the types of records and reports used by the commodities industry; tax consequences for investors; forum-shopping and litigation strategies; and how to prepare a commodities case. 3. 000 Credit Hours 3. 000 Lecture hours Levels: Graduate Business, Master of Laws, Law Schedule Types: Lecture Chicago- Kent College of Law College Law Department
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3.00 Credits
This course provides an introduction to the economics, operation, and regulation of commercial banking. Basic materials include an overview of how banks manage their risks, including both interest rate risks and credit risks, and also how banks earn profits. The formation of national associations and Illinois banks are covered as is the analysis of the rules and regulations which affect their operation. Particular attention is given to special reporting requirements to regulators. In addition, federal and state regulation of bank holding companies is examined. This course or its waiver is a prerequisite for course 820. 2. 000 Credit Hours 2. 000 Lecture hours Levels: Graduate Business, Master of Laws, Law Schedule Types: Lecture Chicago- Kent College of Law College Law Department
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3.00 Credits
This course examines (1) how various institutions-bank trust departments, insurance companies, investment advisors and commodity trading advisors- are regulated in their capacity as managers of other peoples' financial investments and (2) how the form in which the investment is made-investment company, commodity pool, partnership or trust-affects that regulation. Common Law principles of prudence and fiduciary responsibility are explored and contrasted with specific federal, e.g., ERISA, and state statutory requirements and prohibitions. Specific topics (illustrated by case histories) which are discussed include: disclosure requirements, fee structures, handling of conflicts of interest, training and supervision, oversight and discipline, and permissible investment techniques. 3. 000 Credit Hours 3. 000 Lecture hours Levels: Graduate Business, Master of Laws, Law Schedule Types: Lecture Chicago- Kent College of Law College Law Department
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