Law and Economics of Capital Markets and Financial Intermediation

Semester: Fall 2016
Course ID: 379M
Credit Hours: 3
Unique: 29065

Course Information

Grading Method: Pass/Fail Allowed (JD only)
Cross-listed with other school

Registration Information

Upperclass-only elective

Meeting Times

Day	Time	Location
TUE, THU	9:30 - 11:00 am	CBA 4.304

Evaluation Method

Type	Date	Time	Location
None

Description

This course uses economic analysis to understand the institutional workings of the securities and investment business and its legal regulation (especially recent developments therein). The main focus of this course is on securities intermediaries -- those who trade, facilitate trade, or manage investments on account of others -- as opposed to primary offerings (which are covered in a typical Securities Regulation class). Topics include securities trading and market regulation, banking and shadow banking, securitizations and asset-backed securities, broker-dealer duties and conflicts, and investment advisers and investment company regulation. The course utilizes a case study approach, with examples drawn from recent events. The class will be a combination of lecture, class discussion, and student group presentations. The goal of the course is to ensure that students have a good economic understanding of how and why the law applies to them once they are (or are representing) investment bankers, traders, or investment advisers.

Textbooks ( * denotes required )

No materials required

Instructors

Spindler, James C.

Important Class Changes

Date	Updated
04/08/2016	Instructor(s) updated

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