CAPITAL MARKETS REGULATION SPRING 2012 CLASS. Syllabus. Oxford University Press Chapter 2 (Trading Stories)
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1 CAPITAL MARKETS REGULATION SPRING 2012 CLASS Syllabus I. Class #1 Tuesday, Jan. 17, 2012 A. Course Outline B. Larry Harris, Trading and Exchanges: Market Microstructure for Practitioners, Oxford University Press Chapter 1 (Introduction) C. Larry Harris, Trading and Exchanges: Market Microstructure for Practitioners, Oxford University Press Chapter 2 (Trading Stories) II. Class #2 Thursday, Jan. 19, 2012 A. Freidrich Hayek, The Use of Knowledge in Society, American Economic Review, XXXV, No. 4, pp (September 1945) B. Larry Harris, Trading and Exchanges: Market Microstructure for Practitioners, Oxford University Press Chapter 9 (Good Markets) C. Artyom Durnew, Randall Morck, Bernard Yeung, Excerpt, Law, Share Price Accuracy and Economic Performance: The New Evidence, 102 Mich. L. Rev. 331 (2003) III. Class #3 Tuesday, Jan. 24, 2012 A. Daniel F. Spulber, Market Microstructure and Intermediation, Journal of Economic Perspectives, Vol. 10, No. 3, pp (Summer 1996) B. Hans R. Stoll, Electronic Trading in Stock Markets, Journal of Economic Perspectives, Vol. 20, No. 1, pp (Winter 2006) C. Larry Harris, Trading and Exchanges: Market Microstructure for Practitioners, Oxford University Press Chapter 8 (Why People Trade) IV. Class #4 Thursday, Jan. 26, 2012 Oxford University Press Chapter 5 (Market Structures) and Chapter 19 (Liquidity) V. Class #5 Tuesday, Jan. 31, 2012 Oxford University Press Chapter 14 (Bid/Ask Spreads)
2 2 VI. Class #6 Thursday, Feb. 2, 2012 Oxford University Press Chapter 27 (Floor Versus Automated Trading Systems) VII. Class #7 Tuesday, February 7, 2012 A. No new reading assignment VIII. Class #8 Thursday, Feb. 9, 2012 A. John C. Coffee, Jr., Privatization and Corporate Governance: The Lessons from Securities Market Failure, published at Chapter 7 of Merritt B. Fox and Michael A. Heller, Corporate Governance Lessons from Transition Economy Reforms, Princeton University Press, pp B. Stijn Claessens, Simeon Djankov, and Daniela Klingebiel, Stock Markets in Transition Economies, Financial Sector Paper No. 5, The World Bank (September 2000) C. Capital Punishment, The Economist, (Sept. 12, 2002) D. NASDAQ of the North (Dec. 2, 1999) E. Vikas Bajaj and Stephen Labaton, Big Risks for U.S. in Trying to Value Bad Bank Assets, New York Times (Feb. 2, 2009) IX. Class #9 Tuesday, Feb. 14, 2012 A. Assignment from Class #8 continued. X. Class #10 Thursday, Feb. 16, 2012 A. Assignment from Class #8 and Class #9 continued. XI. Class #11 Tuesday, Feb. 21, 2012 A. Paul G. Mahoney, Information Technology and the Organization of Securities Markets, Brookings-Wharton Papers on Financial Services (2002) B. Craig Pirrong, The Thirty Years War, Securities & Investment, Regulation (Summer 2005) C. Concept Release on Equity Market Structure, 17 CFR 242, Release No (2010)
3 3 D. Joel Seligman, Rethinking Securities Markets: The SEC Advisory Committee on Market Information and the Future of the National Market System, 57 Bus. Law 637, (2002) E. Mary M. Dunbar, Market Structure: Regulation NMS, SIA Compliance and Legal Division, Annual Seminar (2006) F. Excerpt from Coffee, Seligman & Sale Securities Regulation, Part Three, Regulation of Trading in Securities, pp (2007) G. Excerpt from Coffee, Seligman & Sale Securities Regulation, Part Three, Regulation of Trading in Securities, pp (2007) H. Excerpt from Coffee, Seligman & Sale Securities Regulation, Part Three, Regulation of Trading in Securities (Self Regulation in the Securities Industry), pp (2007) I. Section 11A of the Securities Exchange Act of 1934 XII. Class #12 Thursday, Feb. 23, 2012 A. Class #11 readings continued B. Problem Set Questions #1 through #4 C. Rules 600, 601, 602, 603, 604, 610, and 611 of the Securities Exchange Act of 1934 XIII. Class #13 Tuesday, Feb. 28, 2012 A. Class #11 readings continued B. Problem Set Questions #5 through #14 XIV. Class #14 Thursday, Mar. 1, 2012 Oxford University Press Chapter 5 (pp on transparency only) B. Rules 605, 606, 607, and 612 of the Securities Exchange Act of 1934 (also skim all of Reg ATS and read ATS Rule 301) XV. Class #15 Tuesday, Mar. 6, 2012 A. No additional reading
4 4 XVI. Class #16 Thursday, Mar. 8, 2012 A. No additional reading [SPRING BREAK] XVII. Class #17 Tuesday, Mar. 20, 2012 Oxford University Press Chapter 7 (Brokers) and Chapter 25 (Internalization, Preferencing, and Crossing) XVIII. Class #18 Thursday, Mar. 22, 2012 A. Class #17 readings continued. XIX. Class #19 Tuesday, Mar. 27, 2012 A. Charles Hughes & Co., Inc. v. SEC, 139 F.2d 434 (2d Cir. 1943) B. Newton v. Merrill Lynch, 259 F.3d 154 (3rd Cir. 2001) XX. Class #20 Thursday, Mar. 29, 2012 A. Lehl v. SEC, 90 F.3d 1483 (10th Cir. 1996) B. Alstead, Dempsey & Co., Sec. Exch. Act. Rel. No (1984) XXI. Class #21 Tuesday, Apr. 3, 2012 A. SEC v. First Jersey Securities, 890 F. Supp (S.D.N.Y. 1995) B. Shivangi v. Dean Witter, 825 F.2d 885 (5th Cir. 1987) XXII. Class #22 Thursday, Apr. 5, 2012 A. Excerpt, Thomas Lee Hazen, The Law of Securities Regulation (Sixth Edition 2009), A Broker s Obligation to Customers With Regard to Recommendations: The Know Your Security, Suitability, and Know Your Customer Obligations, Chapter (pp ) XXIII. Class #23 Tuesday, Apr. 10, 2012 A. Hanly v. SEC, 415 F.2d 589 (2d Cir. 1969) B. Sample Brokerage Trade Confirmation
5 5 C. Rule 15c1-7 of the Securities Exchange Act of 1934 D. Larry Harris, Trading and Exchanges: Market Microstructure for Practitioners, Oxford University Press 2003 pp and pp E. FINRA Rule Recommendations to Customers (Suitability) F. FINRA Rule Discretionary Accounts G. David Raymond Koos, Former Registered Representative, New York Stock Exchange Hearing Panel Decision , August 1, 2001 H. Hotmar v. Listrom & Company, Inc., 808 F.2d 1384 (10th Cir. 1987) XXIV. Class #24 Thursday, Apr. 12, 2012 Oxford University Press 2003 pp , , and B. Joe Light, Are Brokerage Accounts Safe?, Wall Street Journal, Dec. 31, 2011 C. Upton v. SEC, 75 F.3d 92 (2d Cir. 1996) D. Andrew Ackerman, SEC Suit Pursued Payouts by SIPC, Wall Street Journal, Dec. 13, 2011 E. Exchange Act Rules 15c3-3, 15c2-1, and 15c3-1 (examine sufficiently to have a basic idea of what they address and how they work) XXV. Class #25 Tuesday, Apr. 17, 2012 Oxford University Press 2003 Chapter 12 (Bluffers and Market Manipulation) B. In the Matter of Yoshikawa, Admin. Proc. File No , Release No (SEC 2006). C. Excerpts from Thomas Lee Hazen, Securities Regulation Cases and Materials (Seventh Edition), Chapter 13 (Manipulation) (pp ) XXVI. Class #26 Thursday, Apr. 19, 2012 A. United States v. Mulheren, 938 F.2d 364 (2d Cir. 1991) B. Steve Theil, $850,000 in Six Minutes The Mechanics of Securities Manipulation, 79 Cornell L. Rev. 219 (1994) C. Markowski v. SEC, 274 F.3d 525 (D.C. Cir. 2001)
6 6 XXVII. Class #27 Tuesday, Apr. 24, 2012 A. Lawrence R. Glosten, A Floating Rate Convertible PIPE, Sedona s Brush with Death, Columbia Business School Case Study (2011) B. Complaint, SEC v. Badian, 06 Civ. 2621, Apr. 4, 2006 C. Merritt B. Fox, Lawrence R. Glosten, and Paul C. Tetlock, Short Selling and the News: A Preliminary Report on an Empirical Study, 54 N.Y. L. Sch. L. Rev. 645 ( ) D. Larry Harris, Trading and Exchanges: Market Microstructure for Practitioners, Oxford University Press 2003 Chapter 29 (Insider Trading)
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