Law Schedule of Classes

NOTE: Course offerings change. Classes offered this semester may not be offered in future semesters.

Apart from their assigned mod courses, 1L students may only enroll in courses offered as 1L electives. A complete list of these courses can be found on the 1L Elective Listings page. 1L students must use the 1L class number listed on the course description when enrolling.

247.1 sec. 001 - Regulation of Capital Markets and Financial Institutions (Spring 2023)

Instructor: Mark D Perlow  (view instructor's teaching evaluations - degree students only | profile)
View all teaching evaluations for this course - degree students only

Units: 2
Grading Designation: Graded
Mode of Instruction: In-Person


W 6:25 PM - 8:15 PM
Location: Law 107
From January 11, 2023
To April 19, 2023

Course Start: January 11, 2023
Course End: April 19, 2023
Class Number: 32341

Enrollment info:
Enrolled: 13
Waitlisted: 0
Enroll Limit: 23
As of: 08/24 11:03 PM

This course will address the institutional and regulatory framework of the U.S. capital markets and the role that financial institutions, particularly investment banks, investment funds and derivatives dealers, perform in these markets. We will study the legal, political and regulatory structures that reinforce the prominence of capital markets in the US financial system. The course will provide an overview of the functions and regulation of banks, exchanges, over-the-counter markets, broker-dealers, institutional investors, mutual and hedge funds, retail investment advice, securitization, and futures and derivatives markets. We also will cover a series of case studies that illustrate the features and weaknesses of the U.S. regulatory system, including the rise and fall (and rise again) of securitization, failures in investment banks and financial holding companies, energy and credit derivatives, money market funds and hedge funds. We also will study fintech and the promise and challenges presented by technology and innovation to investment products and their providers, as well as to the regulatory system. We will study the fragmented U.S. regulatory system, including the division of regulatory responsibilities under the Gramm-Leach-Bliley and Dodd-Frank Acts, as well as the actions and varying (and often conflicting) policy purposes of the securities, derivatives and banking regulators and other legislative proposals and actions of Congress and the Treasury.

This course is intended to provide students with an overview of the US capital markets and financial system. It does not cover the same material or the same details as specific courses in corporate, securities, banking or Consumer Financial Regulation (749.1).

Exam Notes: (None) Class requires a series of papers, assignments, or presentations throughout the semester
Course Category: Business Law

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