Securities Law Commons^™

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

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

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

Ronald H. Filler Institute for Financial Services Law

February 10, 2026

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

Ronald H. Filler Institute for Financial Services Law

October 24, 2023

Lawyers On The Edge: What Happened To Rudy Giuliani?, Jacob Burns Center For Ethics In The Practice Of Law

2022–2023 Flyers

Click here to view the event invitation.

Ftx And The Future Of Crypto, Heyman Center On Corporate Governance

2022 Event Invitations

Join cryptocurrency and blockchain expert Aaron Wright, bankruptcy attorney Allen Kadish, securities regulation and fintech expert Professor Yuliya Guseva, and white collar crime expert Professor Andrew Jennings for a lively online conversation moderated by Cardozo Professor Matthew Wansley. We'll dive into cryptocurrency exchanges, the issues faced by FTX, why it collapsed, how bankruptcy will play out, and whether its executives face any legal liability.

Lawyers On The Edge: What Happened To Rudy Giuliani?, Jacob Burns Center For Ethics In The Practice Of Law

2022 Event Invitations

Please join The Jacob Burns Center for Ethics in the Practice of Law for the second in their series of book talks, Lawyers on the Edge, with Andrew Kirtzman, author of Giuliani: The Rise and Tragic Fall of America's Mayor.

Andrew Kirtzman, journalist and author, has been following the career of Rudy Giuliani since the 1990s. His new biography traces Giuliani from the beginning of his rise to his role as Donald Trump’s personal lawyer.

Professor Jessica Roth, Co-Director of the Jacob Burns Center for Ethics in the Practice of Law, will lead a discussion with Kirtzman about his …

Heyman Center Book Talk: Going Public, Heyman Center On Corporate Governance, Rachel Landy, Dakin Campbell, Megan Baier

2022–2023 Flyers

No abstract provided.

Heyman Center Book Talk: Going Public, Heyman Center On Corporate Governance

2022 Event Invitations

Join us for a lively discussion with Dakin Campbell, author of Going Public: How Silicon Valley Rebels Loosened Wall Street’s Grip on the IPO and Sparked a Revolution and Megan Baier, partner at Wilson Sonsini Goodrich & Rosati, moderated by Rachel Landy, Visiting Assistant Professor and Director of the Heyman Center at Cardozo Law School.

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

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

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

Ronald H. Filler Institute for Financial Services Law

April 21, 2022

Cryptocurrency: The Consequences Of A Regulatory Gap In A Rapidly Growing Industry, Claire Sanford

SLU Law Journal Online

Digital assets are largely unregulated, which has led to many investors being defrauded without remedy. Various solutions have been proposed to solve the regulatory gap, but none have been successful in practice. In this article, Claire Sanford discusses how the risks associated with cryptocurrency exchanges are distinct from more traditional investments.

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

Ronald H. Filler Institute for Financial Services Law

February 17, 2022

What’S In The Forecast For The Spac Boom & The Pslra?, Nick Krone

SLU Law Journal Online

Special Purpose Acquisition Companies (SPACs) have exploded in popularity. These so-called “blank check” companies are used as vehicles to take companies public without going through a traditional IPO process. Financial projections in SPACs are currently protected by the safe harbor for forward-looking statements afforded by the Private Securities Litigation Reform Act (PSLRA). In this article, Nick Krone examines whether SPACs should be protected by the PSLRA.

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

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

Ronald H. Filler Institute for Financial Services Law

October 18, 2021

Securities Regulation, Dale H. Lastman

Osgoode Course Casebooks

Course code: 2620.3

Modelling For Sustainable Development: New Decisions For A New Age, Andrea M. Bassi, Liesbeth Casier, David Laborde, Max Linsen, David Manley, Nicolas Maennling, Howard Mann, Morten Siersted, Carin Smaller, Iain Steele, David Uzsoki, Johnny West

Columbia Center on Sustainable Investment Books

This book outlines how next-generation models need to integrate social and environmental components in government and corporate decision-making. Traditionally, these models have focused on profits and taxes, but to achieve the UN’s Sustainable Development Goals, they need to take a more holistic view. The book builds on the expanding practices of modelling complex decision making requirements and indicators. It considers the challenges of decision making in the face of incomplete and sometimes inaccurate information, the role of multiple stakeholders, and the capacity of governments and others to use models effectively.

Is Transparency The Answer? Reconciling The Fiduciary Duties Of Public Pension Plans And Private Funds, In 2016 Private Fund Report: Public Pension Plans And Private Funds - Common Goals, Conlicting Interests (2016), Cary Martin Shelby

Books and Chapters

Public pension plans manage over $3 trillion in assets on behalf of millions of state and local government workers across the country. The trustees of such plans (“Trustees”) invest the bulk of these assets into a variety of equities and bonds, with the hopes of earning sufficient returns to finance the retirement of these countless public sector workers. In recent years however, Trustees have grown more creative in selecting their underlying investment allocations. Alternative investments, such as hedge funds and private equity funds for example provide unique opportunities for Trustees to maximize returns, protect against declining markets, and to diversify …

Securities Regulation: 2016-17, Dale H. Lastman

Osgoode Course Casebooks

Course Number 2620

The Rise Of Risk-Based Regulatory Capital: Liquidity And Solvency Standards For Financial Intermediaries, Jose Gabilondo

Faculty Books

In a capitalist economy, a private firm seeking finance must negotiate with prospective investors in the open market, which establishes standards about the terms on which debt and equity investment will be forthcoming. In addition to these market-financing standards, the capital structure of some financial firms—particularly broker-dealers, federally insured depository institutions, and insurance companies—must satisfy other requirements imposed by federal or state regulators to promote liquidity and solvency. Regulators take a heightened interest in these firms because they serve a public function in providing credit and other financial services. To grasp what regulatory capital rules try to accomplish, the reader …

Handbook For Promoting Foreign Direct Investment In Medium-Size, Low-Budget Cities In Emerging Markets, Vale Columbia Center On Sustainable International Investment, Millennium Cities Initiative

Columbia Center on Sustainable Investment Books

In November 2009, the Vale Columbia Center on Sustainable International Investment and the Millennium Cities Initiative (MCI) released the Handbook for Promoting Foreign Direct Investment in Medium-size, Low-Budget Cities in Emerging Markets. With foreign direct investment (FDI) flows declining worldwide by an estimated 40-50% this year (following a decline of over 10% in 2008), investment promotion has become more important than ever: in a highly competitive world FDI market, promotion can make all the difference.

Investment promotion is particularly important for cities other than capital cities, as investors in manufacturing and services often locate primarily in a country’s capital …

Legal Developments In The Electronic Securities Markets: Online Trading Systems And The Use Of Websites For Offshore Internet Offers, David A. Westbrook, Brandon Becker, Lyle Roberts

Contributions to Books

Published as Chapter 22 in Securities Law & The Internet 1998: Doing Business In a Rapidly Changing Marketplace, Stephen J. Schulte, Michelle C. Wallach & Brandon Becker, eds.

Representing Business Clients In 1996, Oregon Law Institute, David Culpepper, Barnes H. Ellis, N. Robert Stoll, Steven D. Stadum, Peter R. Jarvis, Bradley F. Tellam, Claudia K. Powers, Corbett Gordon, Frank X. Curci, Micah D. Stolowitz, Jere M. Webb

Oregon Law Institute, 1996

Course Materials from the May 3, 1996 Program in Portland