Part IV. Securities Firms and Capital Markets | Financial Regulation: Law and Policy | September 14, 2016

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Part IV. Securities Firms and Capital Markets

by Financial Regulation: Law and Policy Show/Hide
  1. 2 Show/Hide More Securities Firms and the Retail Investor *
    Original Creator: Financial Regulation: Law and Policy
    This folder contains supplemental information for Chapter 4.2.
    1. 2.1 Show/Hide More DOL Factsheet on Final Fiduciary Rule (April 2016)
      Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
    2. 2.2 Show/Hide More Morgan Lewis Memo - The 2016 Election and the Future of the Department of Labor Fiduciary Rule (November 2016)
      Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
    3. 2.3 Show/Hide More U.S. Chamber of Commerce, Comment Letter on Definition of the Term "Fiduciary" (Apr. 17, 2017)
      Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
    4. 2.4 Show/Hide More John Oliver "Last Week Tonight" Clip - Securities Firms
      Use with Section I. Introduction, beginning on page 461.
    5. 2.5 Show/Hide More Financial Planning Coalition, Comment Letter on Definition of the Term "Fiduciary"
      Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
    6. 2.6 Show/Hide More SIFMA AMG, Comment Letter on Definition of the Term "Fiduciary" (Apr. 2017)
      Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
    7. 2.7 Show/Hide More DOL Chart Illustrating Changes from Department of Labor's 2015 Conflict of Interest from Proposal to Final
      Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
    8. 2.10 Show/Hide More Presidential Memorandum on Fiduciary Duty Rule (Feb. 3, 2017)
      Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
    9. 2.11 Show/Hide More CFPB Final Rule on Arbitration Agreements (July 2017)

      Use with Chapter 4.2 Section IV. The Rise of Securities Arbitration, beginning on page 488.

      Use with Chapter 5.1 Section V. The Consumer Financial Protection Bureau, beginning on page 565.

  2. 3 Show/Hide More Securities Firms in Corporate Transactions*
    Original Creator: Financial Regulation: Law and Policy
    This folder contains supplemental information for Chapter 4.3.
  3. 4 Show/Hide More Exchanges and Trading *
    Original Creator: Financial Regulation: Law and Policy
    This folder contains supplemental information for Chapter 4.4.
    1. 4.1 Show/Hide More Michael Morelli, Regulating Secondary Markets in the High Frequency Age (May 2016)
      Use with Section IV. Challenges in Trading Markets Today, beginning on page 541.
    2. 4.2 Show/Hide More Michael Wellman & Elaine Wah, Latency Arbitrage, Market Fragmentation, and Efficiency: A Two-Market Model (2013)
      Use with Section IV. Challenges in Trading Markets Today, beginning on page 541.
  4. 5 Show/Hide More Experiential Learning Materials for Part IV*
    Original Creator: Financial Regulation: Law and Policy
    Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part IV
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September 14, 2016

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