View all courses »

660 - Financial Services Regulation (3 hours)
Financial Services Regulation is a seminar course that explores how “financial services” families are regulated under federal and state law in the United States in the wake of the Gramm-Leach-Bliley Act of 1999, which permitted affiliations, and now in the wake of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The course will deal with the regulation of bank and thrift holding companies, banking institutions (generally), insurance companies and producers, broker-dealers, investment advisers and investment companies, and will focus on practical issues associated with “representing the highly regulated client” - where to find the law, how to apply the law and turn it into client advice and the consequences to attorneys as “institution-affiliated parties.” Team work, based on various charters and types of entities, will be a feature of the class, with each team having a “client.” Business Organizations #203 is a prerequisite.