Students examine current regulatory topics and legal issues challenging industry practitioners while investigating principal securities and futures regulations, net capital requirements, record keeping, financial reporting, and suitability. Instructors emphasize securities and futures registration requirements, margin, order representation and execution, and specific trading practices. A series of panel discussions provide students with insight on current procedures in financial services compliance. The administrative and enforcement procedures of various regulators are examined and appropriate compliance programs for different types of firms are explored. Dates and Requirements Courses meet one evening a week for 11 weeks at IIT's Downtown Campus, just blocks from Union Station and the major exchanges.
Admission requires completion of an undergraduate degree.
The Center is now accepting applications for the Fall Quarter which begins Augusts 28, 2000.