Student Learning Outcomes

This course will be a high-level overview of various financial regulations and ethics. The course will provide students with an understanding of the critical legal, regulatory, policy, and ethical issues associated with banking regulation, insurance regulation, and elements of securities regulation. The course covers federal regulation of the investment management industry, focusing primarily on the Investment Company Act and the Investment Advisers Act while examining the impact of other federal laws, including the Securities Act and the Securities Exchange Act. In addition, students will learn how regulatory agencies in the U.S. continually adjust laws and regulations with the emergence of new financial technologies. The course will also focus on finance-related issues surrounding bankruptcy, corporate mergers, anti-trust, contract leases, and the formation of business organizations.
STUDENT LEARNING OUTCOMES:
  • Demonstrate an understanding of U.S. financial services and securities laws, regulations, and standards.
  • Understand the causes, policy responses, and consequences of financial crises within the U.S.
  • Understand how the legal environment views finance-related circumstances and how to apply this knowledge to influence and make informed business decisions.
  • Apply research and historical knowledge to foresee and avoid legal difficulties in the finance-related business environment.
  • Explain the laws affecting real and personal property in buying, selling, owning, and leasing.
  • Compare and contrast sole proprietorships, partnerships, corporations, and limited liability companies and their effect on contract rights and duties.
  • Apply knowledge of the finance law environment to resolve finance-related legal issues.
  • Determine preferable content when negotiating the terms of commercial leases and contracts.
  • Apply business ethics and corporate social responsibility to financial securities laws and transactions.
  • Apply ethical principles to the role of business in society, including reporting financial information and the competing perspectives of the stakeholder and shareholder.
  • Demonstrate an ability to exercise professional judgment consistent with an organization's ethical values and corporate social responsibility.

Prerequisites

Please see eServices for section availability and current pre-req/test score requirements for this course.