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Casebook Read Credits
Regulation of Financial Institutions – Fall 2015
Section 4
2 hours + 16 links

The Regulation of Securities Firms, Trading Markets, and Investment Companies: Weeks Six to Eight

Howell E. Jackson

Over the next three weeks, we will focus our attention on SEC oversight of securities firms, trading markets, and investment companies. The evolution of fiduciary duties and the role of courts in articulating those duties is central to this subject, as are the increasingly complex structure of capital market practices. We will spend roughly two classes focused on the regulation of broker-dealers and then another two classes on the regulation of trading markets. The final three classes of this segment will turn to the regulation of investment companies.

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