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Course Criteria
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3.00 Credits
This course explores the role and regulation of investment banks and securities firms in connection with raising capital (equity and debt) primarily through the public offering of securities. Included will be a detailed study of requirements and procedures for the federal registration and distribution of securities and review of state Blue Sky laws. A prior familiarity with the Securities Act of 1933 is assumed and the majority of class time focuses on more advanced subjects, including analysis of underwriting agreements, anti-manipulative regulations applicable to distributions, regulation of public offerings by the NASD and offshore offerings. The perspective will be that of investment bankers, particularly their obligations and potential liabilities. In addition, the course covers how multi-service firms engaged in investment banking, trading and brokerage activities must deal with inside information. 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 different forms of insurance organizations, governance, business methods, insurance and reinsurance, and overall regulation of the insurance industry. Included is a study of legal requirements for the organization of insurance companies, capital formation, operations and liquidation. The course emphasizes the legal considerations in product development specifically including financial service products and marketing insurance in traditional and emerging methods. Financial and statutory accounting requirements are reviewed and compared to generally accepted accounting principles. Consideration is also given to alternatives to insurance, their regulation and their business role. 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 regulation of securities and commodities professionals, including: (1) the nature of operations of broker-dealers, futures commission merchants, and other market participants that are regulated as professionals;(2) the products and market places; (3) the jurisdiction of the various securities and commodities regulators and the self-regulatory organizations;(4) the registration and membership requirements of securities and commodities professionals; (5) capital and financial responsibility, margin and credit regulation and books and records of securities and commodities professionals; and (6) clearing settlement, depositories, SIPC and the bankruptcy of securities and commodities professionals. 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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2.00 Credits
This course provides an introduction to commodities and securities professionals' compliance with the applicable statutes and rules of the federal, state and self-regulatory organizations, including: (1) an overview of supervision and compliance; (2) suitability, fair-dealing and customer disclosure; (3) customer documentation; (4) anti-fraud, anti-manipulation, churning, and SEC Regulation M; (5) trading compliance; and (6) investment banking compliance, including public offering and 34 Act compliance. 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 a comprehensive review of enforcement of the securities and commodities laws and regulations by the Department of Justice, the SEC, the CFTC, states and self-regulatory organization. The course also covers jurisdiction and procedures of the various forums for resolution of securities and commodities disputes and customer litigation, the remedies and defenses available in the various forums, class actions, and international litigation and arbitration. 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 U.S. debt markets and the funds transfer markets. The course covers the basics of debt, including the documentation and inter creditor issues of loans, security and guarantees. Both public and private debt is examined, including instruments and products of the US Treasury and other US government agencies, municipal bonds, corporate debt, commercial paper, certificates of deposit, leveraged leasing, factoring, repos, asset-based securitizations, reverses and swaps. The study of the funds transfer markets includes the Federal Reserve system, the discount window, Federal Funds and wire and other electronic funds transfer systems. Completion of this course is a prerequisite for FS 809: Capital Markets II. 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 an overview of the capital and risk hedging markets in the United States from a business point of view. The interrelationships between the various exchange, the OTC, and informal markets are examined, particularly in their capacity as forums for the trading in securities (equities and debt), futures, options, options on futures, forwards and similar instruments. The course focuses principally on the regulations of markets and the economic forces which underpin such regulation. Attention is given to the international markets. As prerequisites, students must have already completed Courses 800, 805, 806, and 808 or been waived from these courses. 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 serves as a summation to the Graduate Program in Financial Services Law through an analysis of representative types of major financial products offered by various financial services entities. Many classes are presentations given by attorneys who helped create the various products. Each guest is asked to examine the significant legal, tax and market characteristics of the product. Consideration will be given to how these characteristics and the relevant regulatory mechanisms affect product design, delivery systems, and interchangeability of purpose, and how they respond to consumer needs. Products are selected from among: stocks, bonds, commodities, options, cash management accounts, mutual funds, life insurance, annuities, home equity loans, certificates of deposit, credit card operations, and similar products. This course should be taken after the student has obtained a broad background from other courses in the Program. 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
The course examines merger and acquisition issues generally, with a specific focus on issues of special importance to banks, insurance companies, brokerage firms and other financial services institutions. Included are: structuring of mergers and acquisition, terms of acquisition documents, fiduciary duties of directors, various regulatory prohibitions and difficulties presented to mergers in the financial services industry, including the successor federal banking law to the Glass-Steagall Act and various state law issues; capital implications of mergers including the most efficient way to combine reporting entities; issues involving pricing and negotiating a merger or acquisition; and mechanical issues involved in mergers, including the transfer of customer account, additional registration of account executives and officers and directors, valuation issues, state approvals, and licensing of the surviving company. 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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2.00 Credits
This course examines basic and advanced problems of insolvency, liquidation and reorganization proceedings involving banks, insurance companies, pension funds, brokerage firms, commodities firms, and other financial institutions and their customers. Particular emphasis is placed on the role of the SEC, CFTC, Comptroller of the Currency, and state regulators in liquidations and reorganizations of financial institutions. In addition, the roles of the FDIC, SIPC, and other insurers and of guaranty funds are also considered. 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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