you read, investing your brain power to offer novel answers to critical questions and situations, and evaluating the far-reaching consequences of your own conclusions and solutions. If that sounds ambitious, it is. I am here to help you through that process. This is challenging – and challenges are prerequisites for progress! Don’t expect to master financial regulation in the first week or even by the end of the course. There will always be room for growth in this area. However, when you successfully complete the class, you should expect to have a much better understanding of the securities industry and how and why it is regulated. I only know of one way to succeed at mastering this study material: be persistent, don’t give up, review the material until you master it, and attempt to explain it to someone who is new to the field! b) General Guidance There are no dumb questions. The really dumb thing is not to ask. I really believe and practice this. If you have a question, ask! Challenge everything! The problem isn’t usually not having information. The web has made information accessible to everyone. In fact, there is almost too much of it. The problem is that you don’t know where to turn or how to evaluate it. Where does it come from? Who wrote it and why? What is their agenda? So keep in mind this warning: “Use the Internet resources carefully!” I encourage you to challenge anything and everything. Don’t just read the textbook or assigned statutes, and court decisions. Read with a viewpoint, with questions to challenging what is being explained. However, if you challenge something, be sure to be able to back up your claim with research and correct references. This is a financial regulation course, where art and science merge in various aspects, and there are often more than one right answers to given situations. 3. Text & Materials 1. Required Text, Course material and Case studies: · Palmiter, Alan, Securities Regulation: Examples and Explanations , 7 th ed., ISBN-13: 978-1-4548- 8130-8, ISBN-10: 1-4548-8130-5 (“Text”) · The SEC website ( ) is a great repository of helpful resources for understanding the materials in this course, including links to the full text of the statutes we study. It is very helpful to peruse the website for more information for all the topics in this class. · Much of our course material will be publicly available statutes, regulations, and case law. I will post all case law on Blackboard and you can find links to the statutes via 1. Optional Readings: Wall Street Journal: [Revised 8.29.2018] P AGE 3
Business Week: NY Times (Business Section): Financial Times The Economist 3.3 Blackboard This course will use a Blackboard site. Students are required to have a BU ID and password to log in. If you do not have a BU ID yet, note that this takes some time so be sure to start this process well before class starts. The site is: 4. Course Overview and Details 4.1
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- Spring '19
- U.S. Securities and Exchange Commission, Securities and Exchange Commission, Securities Industry