Reg of Financial Institutions

• Class number: 13170
• Term: Spring 2007
• Instructor:
  • John Day

Financial institutions (e.g. commercial and investment banks, insurance companies, pension plans, securities firms and mutual funds) are in the midst of profound change driven in large part by an increasingly inter-dependent global economy, changing demographics, advances in information and communication technology and the changing needs of commerce. This course provides a broad survey of the different regulatory structures for these seemingly unrelated financial activities and the underlying policy justification for each approach. It will also examine how the world's rapidly changing economic environment is forcing the convergence and integration of these financial institutions and changes in how the emerging institutions are regulated. To the extent possible, current legislative and regulatory proposals will also be considered.

Course Schedule

• Date: Friday 09:30-12:30AM
• Location: KT115

Course Information

• Catalog number-Section number: 833-01
• Course Type: Lecture
• Prerequisites: Restriction: Law 737 Banking Law and Regulation
• Credits (min/max): 3/3
• Notes: Attendance at the first class is required for all students enrolled and those on the waiting list hoping to enroll. Failure to attend or contact the instructor in advance will result in removal from the course.
• Subjects:
  • Business
  • Economic
  • Insurance

Enrollment

• Enrollment status: Closed
• Current enrollment/capacity: 14/16
• Reserve population/capacity: 0/0
• Waitlist enrollment/capacity: 0/40

Grading

• Grade basis: Graded
• Satisifies Writing Requirement: No
• Exam type: NO EXAM