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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
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
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
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
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
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
Ask The Professor: Portfolio Margining – How Will Dodd-Frank Impact Its Utilization?, Ronald Filler
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
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
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
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
From Lapdog To Watchdog: Sarbanes-Oxley Section 307 And A New Role For Corporate Lawyers, Peter C. Kostant
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
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
Tracinda Corp. V. Daimlerchrysler Ag, Keith Martorana
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
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
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
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
Legislatures, Courts And The Sec: Reflections On Silence And Power In Corporate And Securities Law, Faith Stevelman
Articles & Chapters
No abstract provided.