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Casebook Read Credits
Regulation of Financial Institutions – Fall 2014
Section 4 . 1

Class Fifteen: October 15, 2014

Howell E. Jackson

We will be spending most of the next few weeks on relatively brisk overview of the regulation of securities firms, trading markets, and investment companies. Start by giving a quick read through the Excerpt from Chapter Nine on the History of Broker-Dealers, which offers an overview of the history of securities regulation in the United States. We will begin our discussion with a exploration of the Lending Club Case Study. Time permitting, we will then turn to some early court cases involving the duties of securities firms, focusing on the two Hughes cases (pages 681-88 of Excerpt from Chapter Ten on the Regulation of Broker-Dealers).

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