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Articles 1 - 19 of 19

Full-Text Articles in Law

Ask The Professor: Will The Recent Supreme Court Case In Salman Result In More Cftc Enforcement Actions Charging Insider Trading?, Ronald H. Filler, Jerry W. Markham Jan 2017

Ask The Professor: Will The Recent Supreme Court Case In Salman Result In More Cftc Enforcement Actions Charging Insider Trading?, Ronald H. Filler, Jerry W. Markham

Articles & Chapters

No abstract provided.


Kicking The Can Down The Road: Dodd-Frank’S Attempted Reform On Broker-Dealers, Helen Quigley Jan 2015

Kicking The Can Down The Road: Dodd-Frank’S Attempted Reform On Broker-Dealers, Helen Quigley

NYLS Law Review

No abstract provided.


Regulation Of Derivative Financial Instruments (Swaps, Options, And Futures), Ronald H. Filler, Jerry W. Markham Jan 2014

Regulation Of Derivative Financial Instruments (Swaps, Options, And Futures), Ronald H. Filler, Jerry W. Markham

Books

As a result of the Dodd-Frank Act Wall Street Reform and Consumer Protection Act of 2010, derivatives regulation has become a hot topic on Wall Street and is, therefore, of much interest to law firms with financial institutions as clients. An increasing number of classes on this subject are being taught at law schools around the country, but, to date, there has been no casebook on the subject.

This casebook explores the regulation of swaps, futures and options by the Commodity Futures Trading Commission and the Securities and Exchange Commission. It examines the regulatory history of derivative instruments and traces …


Improving Hedge Fund Governance, Houman B. Shadab Jan 2014

Improving Hedge Fund Governance, Houman B. Shadab

Articles & Chapters

This article provides a comprehensive analysis of the internal governance of hedge funds. The primary components of hedge fund governance are investors with a high propensity to exercise their short-term redemption rights; managers with high pay performance sensitivity, because they are being compensated with an annual performance-based fee plus earnings from their own investment in the funds they manage; sophisticated investors who demand quality governance; and short-term creditors and derivatives counterparties who provide close monitoring. Hedge fund governance needs the most improvement in the areas of performance reporting (valuation) and the timing of performance-fee calculations. Further, counterintuitively, in some circumstances …


Dodd-Frank And International Regulatory Convergence: The Case For Mutual Recognition, Nicholas W. Turner '12 Jan 2013

Dodd-Frank And International Regulatory Convergence: The Case For Mutual Recognition, Nicholas W. Turner '12

NYLS Law Review

No abstract provided.


Sec V. Byers, David M. Brown Jan 2012

Sec V. Byers, David M. Brown

NYLS Law Review

No abstract provided.


Ask The Professor: Portfolio Margining – How Will Dodd-Frank Impact Its Utilization?, Ronald Filler Jan 2010

Ask The Professor: Portfolio Margining – How Will Dodd-Frank Impact Its Utilization?, Ronald Filler

Articles & Chapters

This article analyzes the background and current status of portfolio margining, how it has evolved over the past several years, and how the recent Dodd-Frank Act will impact its utilization and effectiveness. Portfolio margining allows a broker-dealer to analyze a client's total overall portfolio from a risk-based analytical model, establishing the proper minimum initial margin requirements for the entire portfolio applying certain parameters. To be a more effective tool, changes to the U.S. Bankrupcty Code were needed. The Dodd-Frank Act made those legislative changes. It's now up to the regulators to make portfolio margining an even more effective and utilized …


Introduction: The Market Meltdown Of 2008 And The Future Of Financial Reregulation [Article], Faith Stevelman Jan 2010

Introduction: The Market Meltdown Of 2008 And The Future Of Financial Reregulation [Article], Faith Stevelman

Articles & Chapters

No abstract provided.


In Re Cardinal Health, Inc. Securities Litigation, Lucas T. Charleston Jan 2008

In Re Cardinal Health, Inc. Securities Litigation, Lucas T. Charleston

NYLS Law Review

No abstract provided.


The Challenge Of Hedge Fund Regulation, Houman B. Shadab Jan 2007

The Challenge Of Hedge Fund Regulation, Houman B. Shadab

Articles & Chapters

Currently en vogue concerns about hedge funds are not nearly as substantial as is often claimed. Moreover, the funds themselves are reducing their risks to investors and the broader markets, in accordance with investor demands. As hedge funds benefit the broader market by mitigating price downturns, bearing risks that others will not, making securities more liquid, and ferreting out inefficiencies, policymakers should consider whether stricter regulation of hedge funds could do more harm than good.


A Social Defense Of Sarbanes-Oxley, James Fanto Jan 2007

A Social Defense Of Sarbanes-Oxley, James Fanto

NYLS Law Review

No abstract provided.


From Lapdog To Watchdog: Sarbanes-Oxley Section 307 And A New Role For Corporate Lawyers, Peter C. Kostant Jan 2007

From Lapdog To Watchdog: Sarbanes-Oxley Section 307 And A New Role For Corporate Lawyers, Peter C. Kostant

NYLS Law Review

No abstract provided.


Sec Enforcement And Examinations Concerning Hedge Funds, Barry W. Rashkover, Laurin Blumenthal Kleiman Jan 2007

Sec Enforcement And Examinations Concerning Hedge Funds, Barry W. Rashkover, Laurin Blumenthal Kleiman

NYLS Law Review

No abstract provided.


Goldstein V. Sec, Elizabeth A. Veit Jan 2007

Goldstein V. Sec, Elizabeth A. Veit

NYLS Law Review

No abstract provided.


Tracinda Corp. V. Daimlerchrysler Ag, Keith Martorana Jan 2006

Tracinda Corp. V. Daimlerchrysler Ag, Keith Martorana

NYLS Law Review

No abstract provided.


Rombach V. Chang: To 9(B) Or Not To 9(B), Scott D. Woller Jan 2005

Rombach V. Chang: To 9(B) Or Not To 9(B), Scott D. Woller

NYLS Law Review

No abstract provided.


In Re Nortel Networks Corp. Securities Litigation, Janis Golubock Jan 2004

In Re Nortel Networks Corp. Securities Litigation, Janis Golubock

NYLS Law Review

No abstract provided.


The Heartland Funds’ Receivership And Its Implications For Independent Mutual Fund Directors, Jeffrey J. Haas, Steven R. Howard Jan 2002

The Heartland Funds’ Receivership And Its Implications For Independent Mutual Fund Directors, Jeffrey J. Haas, Steven R. Howard

Articles & Chapters

No abstract provided.


Legislatures, Courts And The Sec: Reflections On Silence And Power In Corporate And Securities Law, Faith Stevelman Jan 1996

Legislatures, Courts And The Sec: Reflections On Silence And Power In Corporate And Securities Law, Faith Stevelman

Articles & Chapters

No abstract provided.