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Articles 1 - 30 of 58
Full-Text Articles in Securities Law
Fireside Chat | Shawn Kodes ’07: Asset-Backed Finance: A Guide For Future Lawyers, Ronald H. Filler Institute For Financial Services Law
Fireside Chat | Shawn Kodes ’07: Asset-Backed Finance: A Guide For Future Lawyers, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
April 21, 2026
Fireside Chat | Victor Suthammanont '05: Financial Services Law 101, Ronald H. Filler Institute For Financial Services Law
Fireside Chat | Victor Suthammanont '05: Financial Services Law 101, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
April 1, 2026
Fireside Chat | Mariel Cruz ‘09: M&A And Corporate Restructuring, Ronald H. Filler Institute For Financial Services Law
Fireside Chat | Mariel Cruz ‘09: M&A And Corporate Restructuring, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
March 12, 2026
Fireside Chat | Ethan L. Silver ’02: The Evolving Landscape Of Crypto, Ronald H. Filler Institute For Financial Services Law
Fireside Chat | Ethan L. Silver ’02: The Evolving Landscape Of Crypto, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
February 10, 2026
Introduction: Corporate And Securities Law Responses To Climate Change: Law And Political Economy Perspectives, Sarah C. Haan, Faith Stevelman
Introduction: Corporate And Securities Law Responses To Climate Change: Law And Political Economy Perspectives, Sarah C. Haan, Faith Stevelman
Articles & Chapters
No abstract provided.
Ask The Professor How Will The Recent U.S. Supreme Court Decision In Jarkesy Impact Past, Current And Future Sec, Cftc And Sro Enforcement Actions?, Ronald Filler
Articles & Chapters
No abstract provided.
Ask The Professor: How Has The Recent U.S. Supreme Court Opinion In Murray V. Ubs Securities Provided Much Needed Protection To Whistleblowers?, Ronald Filler
Articles & Chapters
No abstract provided.
Ask The Professor: Will The Recent Second Circuit Decision In Sec V. Govil Adversely Impact Future Sec Disgorgement Cases—Or Not?, Ronald Filler
Ask The Professor: Will The Recent Second Circuit Decision In Sec V. Govil Adversely Impact Future Sec Disgorgement Cases—Or Not?, Ronald Filler
Articles & Chapters
No abstract provided.
Fireside Chat | Luke Charleston ’08 In Complex Financings And Transactions, Ronald H. Filler Institute For Financial Services Law
Fireside Chat | Luke Charleston ’08 In Complex Financings And Transactions, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
October 26, 2023
Lunch Talk | Matthew Sadofsky '96: Capital Markets: Down And Dirty With Ipo Due Diligence, Ronald H. Filler Institute For Financial Services Law
Lunch Talk | Matthew Sadofsky '96: Capital Markets: Down And Dirty With Ipo Due Diligence, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
October 24, 2023
Lecture Series | Robin Meister '86: Has The Spectacular Fall Of Archegos Taught Us Anything?, Ronald H. Filler Institute For Financial Services Law
Lecture Series | Robin Meister '86: Has The Spectacular Fall Of Archegos Taught Us Anything?, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
October 18, 2022
Lecture Series | Environmental, Social, And Governance (Esg): What's Next?, Ronald H. Filler Institute For Financial Services Law
Lecture Series | Environmental, Social, And Governance (Esg): What's Next?, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
October 11, 2022
Lunch Lecture | Environmental, Social, And Governance Issues In The Hedge Fund Industry, Ronald H. Filler Institute For Financial Services Law
Lunch Lecture | Environmental, Social, And Governance Issues In The Hedge Fund Industry, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
April 28, 2022
Lunch Lecture | Robin Meister '86: Managing Risk In The Financial Services Industry, Ronald H. Filler Institute For Financial Services Law
Lunch Lecture | Robin Meister '86: Managing Risk In The Financial Services Industry, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
April 21, 2022
Lunch Lecture | Matthew Baum '09: Defending Clients From Investor Arbitration Claims, Ronald H. Filler Institute For Financial Services Law
Lunch Lecture | Matthew Baum '09: Defending Clients From Investor Arbitration Claims, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
March 8, 2022
Lunch Lecture | A Career At The Financial Industry Regulatory Authority (Finra), Ronald H. Filler Institute For Financial Services Law
Lunch Lecture | A Career At The Financial Industry Regulatory Authority (Finra), Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
February 17, 2022
Lunch Lecture | Insider Trading: Overview And Developments, Ronald H. Filler Institute For Financial Services Law
Lunch Lecture | Insider Trading: Overview And Developments, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
November 16, 2021
Lunch Lecture | Herbert Moore Jr. '02: Organizing A Venture Capital Fund: An Overview, Ronald H. Filler Institute For Financial Services Law
Lunch Lecture | Herbert Moore Jr. '02: Organizing A Venture Capital Fund: An Overview, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
October 19, 2021
A Conversation About Current Issues Facing The Global Financial Industry, Ronald H. Filler Institute For Financial Services Law
A Conversation About Current Issues Facing The Global Financial Industry, Ronald H. Filler Institute For Financial Services Law
Ronald H. Filler Institute for Financial Services Law
October 18, 2021
Contracting In The Age Of The Internet Of Things: Article 2 Of The Ucc And Beyond, Stacy-Ann Elvy
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 …
The Financial Action Task Force: International Regulatory Convergence Through Soft Law, Nicholas W. Turner
The Financial Action Task Force: International Regulatory Convergence Through Soft Law, Nicholas W. Turner
NYLS Law Review
No abstract provided.
Lawyer Ethics And The Financial Action Task Force: A Call To Action, Jack P. Sahl
Lawyer Ethics And The Financial Action Task Force: A Call To Action, Jack P. Sahl
NYLS Law Review
No abstract provided.
Wells Fargo V. Erobobo: Mortgage-Backed Securities Of The 2000s, Alex Luxenburg
Wells Fargo V. Erobobo: Mortgage-Backed Securities Of The 2000s, Alex Luxenburg
NYLS Law Review
No abstract provided.
The Financial Action Task Force And The Legal Profession, Duncan E. Osborne
The Financial Action Task Force And The Legal Profession, Duncan E. Osborne
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
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
U.S. Legal Profession Efforts To Combat Money Laundering And Terrorist Financing, Laurel S. Terry
NYLS Law Review
No abstract provided.
Compliance Convergence In Fatf Rulemaking: The Conflict Between Agency Capture And Soft Law, Dr. Saby Ghoshray
Compliance Convergence In Fatf Rulemaking: The Conflict Between Agency Capture And Soft Law, Dr. Saby Ghoshray
NYLS Law Review
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 Llc, Raymond P. Girnys
Credit Risk Transfer Governance: The Good, The Bad, And The Savvy, Houman B. Shadab
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 …