FIN 335 Milestone Three Guidelines and Rubric
The final project for this course is the creation of a market analysis report that analyzes various organized global and domestic exchange markets and compares
and contrasts performance for different investment products.
In this milestone, you will submit a draft of Oversight and Governance (Section III) of the final project. You will explain how different markets are regulated, by
which agencies, and how that might impact decisions on which market(s) to list in. Rules, regulations, and regulators of U.S. and international exchanges should
be explored, which were discussed in Module Three. In addition, you will research listing in multiple markets and how interest rates may affect one market over
Specifically, the following critical elements must be addressed:
III. Oversight and Governance. Use this section to explain how different markets are regulated, by which agencies, and how that might impact decisions on
which market(s) to list in. You must address:
A. U.S. Exchanges. Select a major U.S. exchange(s) that the company you are reviewing could have considered in making its IPO listing decision. If
the company is listed on a specific U.S. exchange, use that market. Be sure to answer:
1. What rules and regulations do companies wishing to list on this U.S. exchange need to follow and how might that affect listing decisions?
Your answer should focus on basic entry and operation standards, including requirements for non-U.S. companies to trade on U.S.
exchanges, citing relevant sources.
2. How are U.S. market regulations enforced and by which agencies? How might the costs of compliance and consequences of non-
compliance have affected the company’s listing decision? Justify your response.
B. International Exchanges. Select a major non-U.S. exchange(s) that the company you selected could have considered in making its IPO listing
decision. If the company is listed on a specific non-U.S. exchange, use that market. Specifically:
1. How can you determine the rules, regulations, and oversight bodies for this non-U.S. market? In other words, where would you look to
find this information and how would you know to look there? Support your response with concrete examples.
2. What rules and regulations do companies wishing to list on this non-U.S. exchange need to follow and how is compliance enforced? How
might those factors have affected the company’s decision? Your answer should focus on how basic market requirements and compliance
mechanisms are (or are not) different than those for U.S. exchanges, citing relevant sources.
C. Multiple Markets. Analyze whether the selected company should or should not have considered listing its initial public offering (IPO) in more
than one market. Justify your response. For example, can a company legally list in more than one market? If so, under what conditions? What are
the risks and returns for attracting individual
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