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LAW The Law and Regulation of Financial Institutions

Business Law: Finance: Banking & Bankruptcy

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Business Law: Finance: Banking & Bankruptcy
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Business Law: Finance: Capital Markets, Financial Reporting, Corporate Governance
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LAW 533

The Law and Regulation of Financial Institutions

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[ Academia ] Business Law: Finance: Banking & Bankruptcy

Why it is relevant for ...

[ Academia ] as a Key Elective for those interested in Federal Agencies : If you expect to work with financial institutions, you will need to become familiar with the recent initiatives for designing new rules to govern the securities, banking and commodities markets. Whether you are interested in policy work or private practice, this course provides a useful examination of the regulatory process, including an opportunity to participate by preparing a comment letter for one of the federal agencies that is developing the rules.

General course Description:

This course will focus on the financial regulatory process. It will combine a theoretical understanding of economic concepts applicable to regulation with an applied dimension for student work engaging with actual federal agency rules proposals currently pending. The purpose of this course will be to introduce students to public policy debates in the financial regulatory context. It will apply public choice theory, cost-benefit analysis, the behavioral bias literature and empirical methods to debates about financial regulatory implementation. It will also provide students with a basic overview of the laws and regulations governing the securities, banking, and commodities markets. The aim of the course will be to offer a balanced view and give students the legal and economic tools they will need to provide an informed contribution to the debate. Students and the instructor will work collaboratively to generate actual comment letters and/or publishable academic research regarding regulations proposed by a variety of executive and independent agencies. The course grade will be a combination of course participation and a written component consisting of a final comment letter to be submitted to a regulatory agency or an academic article analyzing a proposed rule. One focus of the course will be on the wide-ranging rules being adopted under the Dodd-Frank Wall Street Reform and Consumer Protection Act. Some of the options open to students for comment letters will be under rules pending for comment and proposed by the Securities Exchange Commission, the Federal Deposit Insurance Corporation, the Federal Reserve, the Consumer Financial Protection Bureau, the Commodity Futures Trading Commission and the Comptroller of the Currency. Part of the course will consist of a series of readings in the regulatory process, including readings in law and economic theory, excerpts from proposed rules, and cases in the DC Circuit successfully challenging proposed rules. Students will link their growing understanding of the economics literature about particular regulatory initiatives to methods for designing legal rules. Students who have not taken administrative law will also receive a sufficient primer to use that discipline for this purpose as well. The ultimate goal will be to develop student capacity for supporting or critiquing regulatory initiatives. Students will be required to actively participate in discussions based in the readings. They will also be required to present a final comment letter to their colleagues and critique the work of their fellow students through a series of short workshop format presentations during the final class day. Those completing a comment letter will also be required to file that letter with the appropriate agency.

Course Style: A Substantive course teaches the law, theory, and policy in a particular area of law

Course Frequency: Offered once a year

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