Global Financial Regulation LLM

Major: Global Financial Regulation

Degree Awarded: Master of Laws (LLM)
Calendar Type: Quarter
Minimum Required Credits: 32.0
Classification of Instructional Programs (CIP) code: 22.0205
Standard Occupational Classification (SOC) code:

About the Program

The LLM degree is designed experienced for domestic and international attorneys who are looking for advanced skills in legal regulatory analysis and policy pertinent to their practices. As the world continues to become more globalized and the business of banking and finance becomes increasingly regulated both domestically and abroad, legal employers including retail banks, investment firms, government agencies and law firms seek lawyers with deeper understanding of the complex interaction between these regulations and the industry to better serve their clients or business interests. LLM students must hold a JD or its international equivalent. This degree is not designed to prepare students for any Bar Exam.

Additional Information

For more information, visit the Global Financial Regulation LL.M website.

Admission Requirements

Domestic students must have earned a JD from an ABA accredited law school.

International students must have an earned Bachelor of Laws (LL.B.) or its equivalent. Admissions will be based on applicant grades from their prior institutions. No entry exam is required except that students who have completed their first law degree program in a language other than English will be required to have a minimum score on the TOEFL or a comparable exam.

Degree Requirements  

Required Courses
LSTU 551Compliance Skills: Auditing, Investigation & Reporting4.0
LSTU 554Risk Assessment and Management4.0
Foreign-trained students may also be required to complete one or more of the following:
Introduction to the Legal System
Legal Research and Analysis
Electives *24.0
Select from the list below.
Ethics and Professional Standards
Compliance Communications
Foundations of Financial Regulation
Legal Regulation of Global Financial Crimes
Legal Regulation of Investment Advisers
Legal Regulation of Investment Companies
Broker/Dealer Regulation
Banking Law
Information Privacy Law
The Law and Strategies Surrounding Cybersecurity
European Union Data Privacy and Protection
Thesis I –Scholarly Legal Writing: Planning and Preparation
Thesis II – Scholarly Legal Writing: Writing, Refining, and Presentation
Total Credits32.0

Substitutions can be made upon approval.

Sample Plan of Study  

First Year (Part-Time)
LSTU 5514.0LSTU 5544.0Electives8.0VACATION
 8 8 8 0
Second Year (Part-Time)
 4 4  
Total Credits 32

Program Level Outcomes

  • Evaluate legal compliance systems including auditing and monitoring processes in financial institutions.
  • Identify key approaches to managing legal risk in financial institutions.
  • Understand broad legal and regulatory principles that govern the financial services industry with particular focus on the sale of securities.
  • Understand the interrelationship between different branches of the financial services industry and their individual regulatory frameworks.
  • Know the role and function of federal and state regulatory bodies with respect to investment companies, investment advisors, broker/dealers and banks.