Banking and Finance Law Commons^™

Risks And Hedges Of Providing Liquidity In Complex Securities: The Impact Of Insider Trading On Options Market Makers, Stanislav Dolgopolov

Fordham Journal of Corporate & Financial Law

No abstract provided.

The Tenth Annual A. A. Sommer, Jr. Lecture On Corporate, Securities, & Financial Law, Elisse B. Walter

Fordham Journal of Corporate & Financial Law

No abstract provided.

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 …

Post-Sox Trends In Delistingsand Deregistration, Samuel Wolff, Clarence D. Long Iv

Richmond Journal of Global Law & Business

No abstract provided.

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

Articles & Chapters

No abstract provided.

Securities Fraud, Officer And Director Bars, And The "Unfitness" Inquiry After Sarbanes-Oxley, Jon Carlson

Fordham Journal of Corporate & Financial Law

No abstract provided.

Responding To The Subprime Mess: The New Regulatory Landscape, David Schmudde

Fordham Journal of Corporate & Financial Law

No abstract provided.

How Should The Financial Markets Be Regulated?, Tamar Frankel

Faculty Scholarship

The financial markets should be regulated mostly by examinations, not by prosecution. And examinations should be far more intense when prices rise, not after a crash.

Private Investment Funds: Hedge Funds' Regulation By Size, Tamar Frankel

Faculty Scholarship

This Article focuses on hedge funds-a species of private investment funds. These funds appeared in the 1950s and remained active but small. Then, in a fairly short period, they grew enormously to over $1.5 trillion, although the estimates vary.¹ Hedge fund managers engage in more than twenty-five different categories of investment strategies.² Since 2002, the number of hedge funds has more than doubled to an estimated 9,000 funds,³ and their assets have grown by 400% to an estimated $1.4 trillion since 1999.⁴ Other estimates are higher, suggesting current hedge fund assets at $2 trillion and their …

How Arbitrary Really Was The S.E.C.'S "Hedge Fund Rule"? The Future Of Hedge Fund Regulation In Light Of Goldstein, Amaranth Advisors, And Beyond, Joshua Hess

West Virginia Law Review

No abstract provided.

The Eighth Annual A.A. Sommer, Jr. Lecture On Corporate, Securities, And Financial Law, William Michael Treanor, Ben A. Indek, Jill E. Fisch, Paul S. Atkins

Fordham Journal of Corporate & Financial Law

No abstract provided.

Evaluating The Mission: A Critical Review Of The History And Evolution Of The Sec Enforcement Program, Paul S. Atkins, Bradley J. Bondi

Fordham Journal of Corporate & Financial Law

No abstract provided.

Fin Rah!...A Welcome Change: Why The Merger Was Necessary To Preserve U.S. Market Integrity, Yesenia Cervantes

Fordham Journal of Corporate & Financial Law

No abstract provided.

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

NYLS Law Review

No abstract provided.

Still "Ain't No Glory In Pain": How The Telecommunications Act Of 1996 And Other 1990s Deregulation Facilitated The Market Crash Of 2002, André Douglas Pond Cummings

Fordham Journal of Corporate & Financial Law

No abstract provided.

A "Tic"Ing Time Bomb: Rule 506 Meets Section 1031, Elizabeth A. Whitman

Fordham Journal of Corporate & Financial Law

No abstract provided.

The Seventh Annual A.A. Sommer, Jr. Lecture On Corporate, Securities & Financial Law: The U.K Fsa: Nobody Does It Better?, William Michael Treanor, Ben A. Indek, Jill E. Fisch

Fordham Journal of Corporate & Financial Law

No abstract provided.

Sec Settlement: Agency Self-Interest Or Public Interest, Danné L. Johnson

Fordham Journal of Corporate & Financial Law

No abstract provided.

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

NYLS Law Review

No abstract provided.

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

NYLS Law Review

No abstract provided.

Goldstein V. Sec, Elizabeth A. Veit

NYLS Law Review

No abstract provided.

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.

Attorneys As Gatekeepers: Sec Actions Against Lawyers In The Age Of Sarbanes-Oxley, Lewis D. Lowenfels, Alan R. Bromberg, Michael J. Sullivan

ExpressO

Following the enactment of the Sarbanes-Oxley Act on July 30, 2002, the Securities and Exchange Commission has substantially increased the number of actions it has initiated against lawyers. And a substantial number of these recent SEC actions against counsel to public companies (both internal and external) have highlighted the SEC’s resolve to hold lawyers accountable for not performing adequately their SEC-conceived role as “gatekeepers” to prevent fraud and other violations of the federal securities laws. This “gatekeeper” concept has been and is being implemented through SEC actions addressing a wide variety of alleged transgressions in a wide diversity of factual …

Regulation A: Small Businesses’ Search For “A Moderate Capital”, Rutheford B. Campbell Jr.

Law Faculty Scholarly Articles

Small businesses are an important part of our national economy, accounting for as much as 40% of our total economic activity and providing society with important services and products.

Small businesses face daunting economic, structural, and legal impediments when they attempt to acquire external capital. The absence of financial inter-mediation services means that they are almost always on their own to find investors. Their small capital needs mean that their relative offering costs are often sky high. Federal and state securities rules significantly exacerbate these economic and structural disadvantages by imposing onerous and unwarranted conditions on their search for external …

Panel Discussion: Bigger Carrots And Bigger Sticks: Issues And Developments In Corporate Sentencing, Jill E. Fisch, Hon. John S. Martin, Richard C. Breeden, Timothy Coleman, Stephen M. Cutler, Celeste Koeleveld, Richard H. Walker

Fordham Journal of Corporate & Financial Law

No abstract provided.

The New Regulatory Regime For Hedge Funds: Has The Sec Gone Down The Wrong Path?, Jacob Preiserowicz

Fordham Journal of Corporate & Financial Law

No abstract provided.

Are Advisers Contributing To Fund Rule Avalanche?, Tamar Frankel

Shorter Faculty Works

The SEC has been prolific in the past few years. By its own initiative, or because of congressional directives, the Commission has issued a record number of rules directed at the mutual funds advisory profession.

From 1975 to 2000 the SEC enacted about 135 substantive rules. However, it has enacted 70 such rules over the five-year span from 2001 to 2006. These rules are progressively more specific, eliminating flexibility, putting the profession in a straight-jacket, and imposing significant costs. The costs of these rules are especially irritating to advisors who have done no wrong.

Professional advisors blame the SEC for …

Rock, Paper, Scissors: Choosing The Right Vehicle For Federal Corporate Governance Initiatives, Joan Macleod Heminway

Fordham Journal of Corporate & Financial Law

No abstract provided.

Brokers And Advisers – What’S In A Name?, Barbara Black

Fordham Journal of Corporate & Financial Law

No abstract provided.