738.01 Financial Law and Regulation: Practitioner's Perspective

Every aspect of financial law and regulation depends heavily on its daily practice.  The environment changes all the time, and the scope of regulatory discretion, at every level of government (state, federal and international) is so large that successful practitioners must understand the current trends in regulatory thinking and practice.  This course will allow students to dive deep into a different aspect of modern financial regulation every week by bringing in prominent alumni practitioners who are experts in specific areas of the field.

The course will be structured as follows:

  1. Six 4 hour components, focusing on specific aspects of financial practice according to the expertise of the teacher. Lee Reiners will hold an opening 2 hour class session.
  2. Taught by a series of expert practitioners, who will spend two days at the school. Classes will be held on Thursday and Friday.
  3. The course is a seminar based on a compilation of readings provided during the course.
  4. Students will be graded based upon class participation and six, 1,500-word, writing assignments pertaining to each of the six topics discussed by our guest lecturers.

Likely topics to be covered include:

  • Derivatives regulation
  • High frequency trading
  • FDIC resolution and the insurance fund
  • Volcker Rule and Regulation W
  • Bank capital requirements


Class will run from Feb 15th to April 5th and will consist of 13 class sessions that are 2 hours long. Seven class sessions will be on a Friday morning from 9-11am and 6 class sessions will be on Thursday afternoon from 4:00pm to 6:00pm.

Special Notes:

*Class meets Feb 13 – April 3

Enrollment Pre-/Co- Requisite Information

Admission to the course will be open only to students enrolled in, or having completed, at least one of the following courses: a. Big Bank Regulation b. Derivatives c. Securities Regulation d. Structuring and Regulating Financial Transactions e. Or another significant and available financial course.  LLMs with strong backgrounds in financial regulation may be exempted from the prerequisite requirements.

Spring 2020

Course Number Course Credits Evaluation Method Instructor
Course Credits
Reflective Writing
Class participation
Lee Reiners
Sakai site: https://sakai.duke.edu/portal/site/LAW.738.01.Sp20
Email list: LAW.738.01.Sp20@sakai.duke.edu
Degree Requirements
Course Requirements - JD
Course Areas of Practice