Courses

    The goal of the course is to provide participants an in-depth understanding of the key themes underlying the regulation of trading in the U.S. Financial Markets. The course will provide students the following: •An overview of the current market structure. •An understanding trading systems commonly used in today's markets. •An in-depth review of the federal securities laws and self-regulatory organization (SROs) rules applicable to order handling and trading in the U.S. Securities Markets, including the laws governing the handling of customers' orders including the duties of best execution, limit order display and protection, firm quote, trading ahead, transaction reporting, due diligence and priority. •An overview of the potential impact of Regulation NMS. While the course will primarily focus on the order handling requirements for equities, it will cover other products including fixed income securities and options.