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Institute for Financial Market Regulation

The Institute for Financial Market Regulation is a cooperative project of professionals involved in financial market regulation and supervision with the University at Albany and Albany Law School to develop interdisciplinary research and education in the field.

The Institute oversees an undergraduate major and minor in Financial Market Regulation at the University at Albany and graduate and legal education in financial market regulation at the University at Albany and Albany Law School. The program is designed to educate students, and to provide them with the tools for responding in knowledgeable and creative ways to current developments in financial markets, whether in entry-level professional practice or in graduate and law school.

The Institute also contributes to the theory and practice of financial market regulation through research connecting academic researchers’ specialized training with professionals’ knowledge and experience, engaging live issues facing regulators and supervisors.

Understanding the business of financial markets in order to know how regulations and controls affect business functions and to work credibly with those responsible for these functions.
Understanding the law of financial market regulation in order to know how rules apply to business functions and policy questions.
Understanding public policy in market regulation in order to anticipate how regulations should be designed given tradeoffs among competing considerations, to effectively negotiate often contentious issues, and to manage change in regulated firms and regulatory organizations.
Understanding the technology of information management and data analysis in order to work effectively with information systems essential to modern regulation and supervision.
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  • Institute for Financial Market Regulation
    University at Albany and Albany Law School
  • Institute Co-Director
    David P. McCaffrey 
    University at Albany           PHONE (518) 442-5282
    d.mccaffrey@albany.edu
  • Institute Co-Director 
    Christine Sgarlata Chung
    Albany Law School         PHONE (518) 445-3249
    cchung@albanylaw.edu
  • Institute Co-Director
    Michael H. Stone 
    Cardozo Law School
    PHONE (917) 969-4129
    MStone@albany.edu