Law 794: Regulation of Derivatives Markets

This course will provide an excellent overview of listed and OTC derivatives financial products.  It will compare the roles played by the federal governmental agencies (CFTC and SEC), the self-regulatory organizations (NFA and NASD) and  the various U.S, and international exchanges and clearing houses.  It will examine in detail the registration, net capital, disclosure and reporting obligations of all registrants, discuss trade practices, examine civil and enforcement proceedings and strategies and will  compare international laws vs. U.S. laws and regulations.  The course includes a one-day session in Chicago where the students will meet senior leaders in the futures industry.

Course Requirements:  The final is a written paper (no exam) plus two smaller written assignments.  No prerequisites are required but this course is highly recommended to those students who have taken the Securities Regulation course.