Institute for Financial Market Regulation

Albany Law School and The University at Albany have been working with practicing professionals since 2006 to educate students and research critical issues in financial market regulation.

Our program seeks to generate skilled professionals required to improve the regulatory system for the financial industry, as well as provide critical research and analysis for the industry. Our approach draws from the different disciplines required to comprehend the breadth of financial market regulation, specifically:

  • the business of financial markets
  • the law of financial regulation
  • public policy affecting the markets
  • the information technology systems that drive regulation systems

Our partners include regulatory organizations, law firms, and financial firms.

Our research focuses on how business, law, public policy, and technology shape financial regulation today.

Our students gain knowledge and skills that prepare them for supervising the complex world of financial markets. 



Two central principles drive the activities of the Institute for Financial Market Regulation:

  • Collaboration among practicing professionals and academic organizations is central to high-quality and relevant education and research in financial market regulation.
  • Education and research in financial market regulation require knowledge of how finance, law, public policy, and computer and information technology jointly shape financial market regulation.

We network closely with the New York Stock Exchange, the Financial Industry Regulatory Authority, and the Securities Industry and Financial Market Association:

  • Students hold summer internship positions
  • Established a speaker series
  • Albany-based classes have started visiting the New York City-based organizations to meet a variety of professionals
  • Professionals have visited Albany to speak and meet with students in the programs

The two schools and our partners are pursuing a variety of projects, including:

  • Studying levels of regulatory activity in each of the 50 state governments
  • Working with the regulatory institutions to alleviate their overwhelming workload by organizing projects faculty and students can perform


Regulation Major and Minor

In 2008, the University at Albany established a major and minor in Financial Market Regulation. Course work includes such areas as banking, insurance, finance, money markets, law, public policy, and information technology.


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