Securities Law Commons^™

Fireside Chat | Luke Charleston ’08 In Complex Financings And Transactions, Luke Charleston

Ronald H. Filler Institute for Financial Services Law

No abstract provided.

Lunch Talk | Capital Markets: Down And Dirty With Ipo Due Diligence, Matthew Sadofsky

Ronald H. Filler Institute for Financial Services Law

No abstract provided.

Lecture Series | Has The Spectacular Fall Of Archegos Taught Us Anything?, Robin Meister

Ronald H. Filler Institute for Financial Services Law

No abstract provided.

Lecture Series | Environmental, Social, And Governance (Esg): What's Next?, Brian Fortune, Adele Kittridge Murray

Ronald H. Filler Institute for Financial Services Law

No abstract provided.

Lunch Lecture | Environmental, Social, And Governance Issues In The Hedge Fund Industry, Brian Fortune, Adele Kittridge Murray

Ronald H. Filler Institute for Financial Services Law

No abstract provided.

Lunch Lecture | Managing Risk In The Financial Services Industry, Robin Meister

Ronald H. Filler Institute for Financial Services Law

No abstract provided.

Lunch Lecture | Defending Clients From Investor Arbitration Claims, Matthew Baum

Ronald H. Filler Institute for Financial Services Law

No abstract provided.

Lunch Lecture | A Career At The Financial Industry Regulatory Authority (Finra), Finra Staff

Ronald H. Filler Institute for Financial Services Law

No abstract provided.

Lunch Lecture | Insider Trading: Overview And Developments, Eric Kriftcher

Ronald H. Filler Institute for Financial Services Law

No abstract provided.

Lunch Lecture | Organizing A Venture Capital Fund: An Overview, Herbert Moore, Jr.

Ronald H. Filler Institute for Financial Services Law

No abstract provided.

A Conversation About Current Issues Facing The Global Financial Industry, Ronald Filler, Scott O'Malia, Jill Sommers, Robert Cook, Hester Peirce, Thomas Sexton, Dawn Stump

Ronald H. Filler Institute for Financial Services Law

No abstract provided.

Contracting In The Age Of The Internet Of Things: Article 2 Of The Ucc And Beyond, Stacy-Ann Elvy

Articles & Chapters

This Article analyzes the global phenomenon of the Internet of Things (“IOT”) and its potential impact on consumer contracts for the sale of goods. Recent examples of IOT products include Amazon’s Dash Replenishment Service, which allows household devices to automatically reorder goods. By 2025, the IOT is estimated to have an economic impact of as much as $11.1 trillion. To date, there are approximately fifteen billion interconnected devices, and by 2020, there will be fifty billion such devices worldwide. IOT devices will revolutionize the way that consumers shop for consumable supplies and other goods. Consumers will no longer need to …

Compliance Convergence In Fatf Rulemaking: The Conflict Between Agency Capture And Soft Law, Dr. Saby Ghoshray

NYLS Law Review

No abstract provided.

The Financial Action Task Force And The Legal Profession, Duncan E. Osborne

NYLS Law Review

No abstract provided.

The Financial Action Task Force: International Regulatory Convergence Through Soft Law, Nicholas W. Turner

NYLS Law Review

No abstract provided.

The Role Of Lawyers In Combating Money Laundering And Terrorist Financing: Lessons From The English Approach, John A. Terrill Ii, Michael A. Breslow

NYLS Law Review

No abstract provided.

U.S. Legal Profession Efforts To Combat Money Laundering And Terrorist Financing, Laurel S. Terry

NYLS Law Review

No abstract provided.

Wells Fargo V. Erobobo: Mortgage-Backed Securities Of The 2000s, Alex Luxenburg

NYLS Law Review

No abstract provided.

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

NYLS Law Review

No abstract provided.

Lawyer Ethics And The Financial Action Task Force: A Call To Action, Jack P. Sahl

NYLS Law Review

No abstract provided.

Regulation Llc, Raymond P. Girnys

NYLS Law Review

No abstract provided.

Credit Risk Transfer Governance: The Good, The Bad, And The Savvy, Houman B. Shadab

Articles & Chapters

Goldman Sachs and American International Group on the eve of the 2008 financial crisis were bound together through a web of credit risk transfer (CRT) contracts in the form of credit default swaps (CDSs) and synthetic collateralized debt obligations (CDOs). Synthetic CDOs enabled certain hedge funds to profit from the ultimate bursting of the housing bubble due to the funds’ savvy in understanding CRT better than their counterparties. This Article constructs a novel theory of CRT that extends the insights of creditor governance theory to CRT transactions. By doing so, this Article establishes a framework for good CRT governance. CRT …

Guilty By Association? Regulating Credit Default Swaps, Houman B. Shadab

Articles & Chapters

A wide range of U.S. policymakers initiated a series of actions in 2008 and 2009 to bring greater regulation and oversight to credit default swaps (CDSs) and other over-the-counter derivatives. The policymakers’ stated motivations echoed widely expressed criticisms of the regulation, characteristics, and practices of the CDS market, and focused on the risks of the instruments and the lack of public transparency over their utilization and execution. Certainly, the misuse of certain CDSs enabled mortgage-related security risk to become overconcentrated in some financial institutions.

Yet as the analysis in this Article suggests, failing to distinguish between CDS derivatives and the …

Keynote Address: The Conflicted Trustee Dilemma, Steven L. Schwarcz

NYLS Law Review

No abstract provided.

On The Continued Vitality Of Securities Arbitration: Why Reform Efforts Must Not Preclude Predispute Arbitration Clauses, Alicia J. Surdyk

NYLS Law Review

No abstract provided.

Estate Of Pew V. Cardarelli, Rachel Bell

NYLS Law Review

No abstract provided.

Teamsters Local 445 Freight Division Pension Fund V. Dynex Capital Inc., Erica E. Bonnett

NYLS Law Review

No abstract provided.

Talking The Talk, Or Walking The Walk? Outcome-Based Regulation Of Transnational Investment, Jerry Ellig, Houman B. Shadab

Articles & Chapters

Today, individual U.S. retail investors have virtually limitless opportunities to invest their money, with a notable exception: they cannot directly invest in securities of foreign issuers and still be protected under U.S. law. This missing opportunity deprives U.S. investors of the ability to fully diversify their investments and also imposes undue costs and risks upon investors seeking to invest directly overseas. This Article shows that a Securities and Exchange Commission ("SEC") policy of "mutual recognition" of foreign regulatory regimes that achieve investor protection outcomes comparable to those of the SEC would solve this problem. A foreign issuer or other entity …

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

NYLS Law Review

No abstract provided.

The Intersection Between Finance And Intellectual Property: Trade Secrets, Hedge Funds, And Section 13(F) Of The Exchange Act, Erin E. Martin

NYLS Law Review

No abstract provided.