Security Market Policy Course

Students will analyze and understand the underlying motivations for financial market regulation and the tradeoffs regulators face when making policy choices.

The course in Security Market Policy offers students within the McCombs Business School and across campus an opportunity to learn a general framework – both theoretical and practical – to analyze and understand the underlying motivations for financial market regulation and the tradeoffs regulators face when making policy choices.

Students will develop an appreciation for how market failures and inefficiencies can be both the cause and consequence of regulation, particularly as it relates to capital raising, investor welfare, securities trading, and financial stability.

At the end of the course, students should understand how the legal and economic boundaries between investors, companies, and financial intermediaries create incentives for:

  1. Financial innovation
  2. Market abuse
  3. Systemic risk
  4. The need for continuous regulatory calibration to promote and maintain orderly and efficient markets. 
Security Market Policy Course

Fall 2020 Speaker List

Tom Selman, former EVP Policy, FINRA — Sep 23

Dan Gallagher, Chief Legal Officer, Robinhood — Sep 30

Dave Michaels, reporter, WSJ — Oct 7 

Barbara Roper, Director of Investor Protection, Consumer Federation of America — Oct 14

Steve Peikin, former Co-Director of Enforcement, Securities and Exchange Commission — Oct 21

Diederik Timmer, EVP Sustainalytics —Oct 28

Paul Andrews, Secretary General, IOSCO — Nov 4

Barbara Novick, Vice chairman and co-founder, Blackrock —Nov 11