University of Miami School of Law Course Description - Online System
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Fall 2016
LAW164  A  BROKER-DEALER REGULATION

Course Description
This course will focus on the Securities Exchange Act of 1934 as it pertains to the regulation of brokerage firms and brokers. The course will examine how brokerage firms are created and subsequently regulated by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Topics will include who needs to register, the scope of a broker's duties, suitability, compliance, supervision and supervisory controls, broker compensation, managing conflicts of interest, controlling inside information, record-keeping and reporting, trading platforms and exchanges. The seminar will further examine a brokerage firm’s obligations to its customers and potential liability for violations of those obligations, touching upon SEC and FINRA regulation and enforcement, private actions and FINRA’s dispute resolution process for customer claims.

Course Schedule
Dates Day Time Room
08-17-2016 - 11-29-2016   T  9:00 AM-10:50 AM F302

Course Frequency

Course Information

Credits: 2
Pass/Fail Option: Yes
Prerequisite: None
Corequisite: None
Method of Evaluation: Graded (pass/fail option). Grading will be based on class participation (25%) and a final exam (75%).
Graduation Requirements Fulfilled By Course:
General
Special Attributes: None
Special Restrictions:
Law Track(s):
Government & Regulation - Specialized
Bar Subject(s): None
Concentration(s): None

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Professor(s)

VERGES, TERESA


Biography
Contact Information:
Email: tverges@law.miami.edu
Phone: (305)284-8548
Office: Legal Services