Phase I: Foundation

Session Description

Current Issues in Securities Regulation

Dr. Orts begins these sessions with the “climate change” in public opinion surrounding the securities industry. Drawing on several real-world examples, he takes participants through the recent turmoil to hit Wall Street, updates them on recent regulatory developments and provides his thoughts on the future of self-regulation in the industry.

 

After completing this session, you will be able to:

 

• Discuss selected proposed new FINRA rules and their status
• Gain a better understanding of the effects of globalization of securities markets
• Recognize the regulatory challenges associated with the “digital communication revolution”
• Evaluate and discuss the new SEC leadership, their priorities and challenges
• Understand recent regulatory developments and recognize their effect on recent court decisions

 

Instructor:

 

Eric Orts, Professor of Legal Studies and Business Ethics and Management, University of Pennsylvania