University of Miami School of Law CourseLink Course Description - Online System
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Fall 2021

Course Description
This course will examine the regulatory and compliance obligations of financial professionals that deal in securities and provide investment advice. After an overview of the securities markets, trading platforms and exchanges, we will focus on the regulation of brokerage firms and brokers, and cover how firms are created and subsequently regulated by the SEC and the Financial Industry Regulatory Authority (FINRA). The course will examine topics such as the different standards of conduct governing brokers and investment advisers, managing conflicts of interest, compliance and supervision (including financial crimes compliance and cybersecurity), and rules governing communications. We will also examine federal, state and FINRA regulation and enforcement over financial firms, and private actions. The course will include guest lectures from regulators, prominent in-house counsel and practitioners. Although the primary focus of the course will be on broker-dealer regulation under the Securities Exchange Act of 1934, will also cover the role and regulation of registered investment advisers under the Investment Advisers Act of 1940.

Course Schedule
Dates Day Time Room
08-23-2021 - 12-01-2021   R  9:00 AM-10:45 AM A216B

Course Frequency

Course Information

Credits: 2
Pass/Fail Option: Yes
Prerequisite: None
Corequisite: None
Method of Evaluation: Grading will be based on: (1) regular class attendance and active class participation (25%); (2) a graded exam.
Graduation Requirements Fulfilled By Course:
Special Attributes: None
Course Delivery:
Special Restrictions:
Law Track(s):
Government & Regulation - Specialized
Bar Subject(s): None
Business Compliance and Sustainability (Area of Focus)   More information
Business Compliance and Sustainability (Concentration)   More information
Course Book(s):
Textbook Required:
Additional Materials:
Materials will be provided via Blackboard.  
First Class Assignment(s): TBD/None



Contact Information:
Phone: (305)284-8548
Office: A312C