Regulation of Financial Institutions – Fall 2015

Section 4 . 3

24 minutes + 2 links

Class Seventeen: October 22, 2014

Howell E. Jackson

We will start today’s class with the D.C. Circuit’s 2007 decision in Financial Planning Association v. SEC and along with the Executive Summary of a January 2011 SEC Study on Investment Advisers and Broker-Dealers. We will then turn to the Excerpt from Chapter Eleven on Trading Markets, with a discussion of the Gordon v. NYSE case (pages 756-64).

This book, and all H2O books, are Creative Commons licensed for sharing and re-use with the exception of certain excerpts. Any excerpts from the Restatements of the Law, Principles of the Law, and the Model Penal Code are copyright by The American Law Institute. Excerpts are reproduced with permission, not as part of a Creative Commons license.