4 Part IV. Securities Firms and Capital Markets 4 Part IV. Securities Firms and Capital Markets
4.1 Introduction to the Regulation of Securities Firms 4.1 Introduction to the Regulation of Securities Firms
No materials are yet posted in this folder.
4.2 Securities Firms and the Retail Investor * 4.2 Securities Firms and the Retail Investor *
This folder contains supplemental information for Chapter 4.2.
4.2.1. DOL Factsheet on Final Fiduciary Rule (April 2016)
4.2.2. Morgan Lewis Memo - The 2016 Election and the Future of the Department of Labor Fiduciary Rule (November 2016)
4.2.3. John Oliver "Last Week Tonight" Clip - Securities Firms
4.2.4. U.S. Chamber of Commerce, Comment Letter on Definition of the Term "Fiduciary" (Apr. 17, 2017)
4.2.5. Financial Planning Coalition, Comment Letter on Definition of the Term "Fiduciary"
4.2.6. SIFMA AMG, Comment Letter on Definition of the Term "Fiduciary" (Apr. 2017)
4.2.7. DOL Chart Illustrating Changes from Department of Labor's 2015 Conflict of Interest from Proposal to Final
4.2.8. Dechert, Tax Management Compensation Planning Journal, Navigating the DOL's New Fiduciary Rules: A Game Plan for Broker-Dealers (Jan. 2017)
4.2.9. Davis Polk Visual Memo, The Department of Labor’s New Fiduciary Regulation and Its Impact on the Financial Services Industry (June 2016)
4.2.10. Presidential Memorandum on Fiduciary Duty Rule (Feb. 3, 2017)
4.2.11. CFPB Final Rule on Arbitration Agreements (July 2017)
4.3 Securities Firms in Corporate Transactions* 4.3 Securities Firms in Corporate Transactions*
This folder contains supplemental information for Chapter 4.3.
4.3.1. U.S. Department of the Treasury, A Financial System That Creates Economic Opportunities: Capital Markets (October 6, 2017)
4.4 Exchanges and Trading * 4.4 Exchanges and Trading *
This folder contains supplemental information for Chapter 4.4.
4.4.1. Michael Wellman & Elaine Wah, Latency Arbitrage, Market Fragmentation, and Efficiency: A Two-Market Model (2013)
4.4.2. Michael Morelli, Regulating Secondary Markets in the High Frequency Age (May 2016)
4.5 Experiential Learning Materials for Part IV* 4.5 Experiential Learning Materials for Part IV*
Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part IV