Curriculum Guide · Courses
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Financial Products in a New Regulatory Environment
Professor Diane Ambler LL.M Seminar 769 (cross-listed) | 2 credit hours Themarket turmoil of the past few years and public debate over its causes have highlighted inequities in the regulation of financial products. The regulation of products issued by banks, mutual fund complexes, insurance companies and others differ for historic reasons embedded in the Investment Company Act of 1940, other federal and state securities laws, federal and state banking laws, state insurance laws and the potential overlay of ERISA. This course takes a close look at the "unlevel" playing field in the regulation of financial products and considers Congressional and regulatory proposals for structural solutions to the market turmoil.
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