2017-2018 Graduate and Professional Studies Programs 
    Jun 04, 2020  
2017-2018 Graduate and Professional Studies Programs [ARCHIVED CATALOG]

FI 5330 - Regulatory Compliance

As regulatory and compliance issues continue to evolve over the last decade, it is imperative that managers and investors stay informed on federal securities laws and related regulations.  In this class students will receive and overview of the theoretical basis and practical implications of these laws and regulations, with a focus on compliance, reporting, data protection, and how these laws impact financial markets both domestically and globally.   (4 Credits)