Publications By Tamar Frankel

Publications by Tamar Frankel include her writings in the areas of mutual funds, securitization, financial system regulation, fiduciary law and corporate governance.

Go to earliest | 1970s | 1980s | 1990s | 2000s

2018

The Rise of Fiduciary Law: Harvard Law School Forum on Corporate Governance and Financial Regulation, 10 September 2018

Trust but Verify: The Legal Duties of Broker-Dealers in the Financial System, Part TwoVerdict-Legal Analysis and Commentary, 18 June 2018 

Trust but Verify: The Legal Duties of Broker-Dealers in the Financial System, Part One:Verdict-Legal Analysis and Commentary, 1 May  2018 

The Brokers’ War Against Fiduciary DutiesVerdict-Legal Analysis and Commentary, 14 Mar. 2018

2017

Bitcoins: The Evolution of Money and the Enforcement of LawVerdict-Legal Analysis and Commentary, 21 Dec. 2017

The Story of Grades: A Fable; Verdict-Legal Analysis and Commentary:Verdict-Legal Analysis and Commentary, 10 Nov. 2017

Rewarding Honesty in Institutions: Verdict-Legal Analysis and Commentary, 23 Oct. 2017 

2016

Bank’s Culture Problem: You Can’t Have Just One, American Banker-Law and Regulation, Vol.1 No. 223 (2016) SourceMedia, LLC

A story of Three Bank-Regulatory Legal Systems: Contract, Financial Management Regulation and Fiduciary Law, The University of Bologna Law Review,  Vol.1:1 (2016)

2015

The Regulation of Money Managers: 3d ed., with Arthur Laby, and Ann Taylor Schwing, ed.,  Wolters Kluwer

Investment Management Regulation, with Kenneth E. Burdon, 5d edition, Fathom Publishing (2015)

Did Commissioner Gallagher Violate SEC Rules, The Harvard Law School Forum on Corporate Governance and Financial Regulation (Jan. 7, 2015)

2014

Municipalities in Distress: A Preventive View, 33 Rev. Bank. & Fin. L. 779 (2014)

Toward Universal Fiduciary Principles, 39 Queen’s Law Journal – Faculty of Law, Queen’s University, No. 2, Spring 2014, was reproduced with permission of the Queen’s Law Journal – and published in the Conference proceedings – (Capitalism – the crisis of a religion?) organized by the ZRWP-Fellowship of the universities of Zurich, Basel and Lucerne, Switzerland. The title of the conference proceedings is Pfleiderer, Georg; Seele, Peter; Matern, Harald (eds), Kapitalismus – eine Religion in der Krise? Vol. II, Zurich / Baden-Baden 2015.

2013

Dismantling Large Bank Holding Companies for Their Own Good and the Good of the Country, Bank & Financial Services Policy Report, Vol. 32, No. 7 (July 2013)

Self-Regulation of Insider-Trading in Mutual Funds and Advisers – Brooklyn Journal of Corporate, Financial and Commercial Law, Volume 8, No. 1 (Fall 2013)

What Makes a Great Law School? Working Paper Series, Public Law & Legal Theory Working paper No. 01-13. – SSRN

2012

Legal Duties of Fiduciaries (2012)

The Failure of Investor Protection by Disclosure, 81 U. Cin. L. Rev. No. 2, Winter 2012

Chapter 19. The Influence of Investment Banks on Corporate Governance in Research Handbook on the Economics of Corporate Law 2012, Edward Elgar Publishing, Inc., Claire E. Hill & Brett H. McDonnell, eds.

Rethinking the American Dream, Femme-O-Nomics (April 2012)

2011

Fiduciary Law in the Twenty-First Century, 91 B.U. L. Rev. May 2011 Number 3

The Regulation of Brokers, Dealers, Advisors and Financial Planners, 30 Rev. Bank. Fin. L. (B.U. School of Law) (2010-2011)

Let the Securities and Exchange Commission Outsource Enforcement by Litigation: A Proposal, J. Bus & Sec. L. (Michigan State College of Law) Vol. 11, Fall Issue 1

2010

Fiduciary Law  (2010)

Mutual fund advisers fees and executive compensation, Palgrave Macmillian-International Journal of Disclosure & Governance. Volume 7, Issue 1 (February 2010)

Negotiating Mutual fund Adviser Fees: The Supreme Court has Spoken. This article is an update to Professor Frankel’s previous paper, ‘Mutual fund advisers ’ fees and executive compensation,’ published in the International Journal of Disclosure and Governance 7(1): 7 – 19. DOL:10.1057 / jdg.2009.26

New Financial Assets: Separating Ownership from Control, 33 Seattle U.L.Rev.931 (2010)

The Study of Sub-Prime Mortgage Disaster, Studi e Note di Economia, Anno XV, n. 1-2010, pages 141-160 (2010)

Chapter 9: Regulating the Financial Markets by Examination in the book The Panic of 2008: Causes,Consequences and Implications for Reform, (Editors: Lawrence E. Mitchell and Arthur E. Wilmarth) Publisher: Edgar Elgar (December 2010)

2009

Trust Honesty and Ethics in Business,  Finance & The Common Good/Bien Commun, No. 31-32-II-III (2008)

Chapter 1: Trust and the Internet in The ABA Guide to International Business Negotiations, J.Silkenat, J.Aresty, J.Klosek eds. (A comparison of Cross-Cultural Issues and Successful Approaches, 3d ed. (2009)

Statement Before U.S. Congress January 2009, Congressional Statement

2008

Corporate Boards of Directors: Advisors or Supervisors, 77 U. Cin. L. Rev. 501 (2008)

Private Investment Funds: Hedge Funds’ Regulation by Size, 39 Rutgers L.J. 657 (2008)

How Should the Financial Markets Be Regulated, Wall St. Law., October 2008, Vol 12 Issue 10.

Rethinking the American Dream, LAWDRAGON,  August, 2008

The Problems of Securitizing Sub-Prime Loans, 1 Asian Bus. Law.,  Spring 2008; The Korea University Legal Research Institute.

2007

Court of Law and Court of Public Opinion: Symbiotic Regulation of the Corporate Management Duty of Care, 3 N.Y.U. J. L. & Bus. 353 (2007)

Trust and Honesty in the Real World, with Mark Fagan, Fathom Publishing Company (2007)

2006

Trust and Honesty. America’s Business Culture at a Crossroad, Oxford University Press (2006)

Are Advisers Contributing to Fund Rule Avalanche? Ignite Magazine (April 2006)

Amicus Brief for City of Hope National Medical Center v. Genentech, Inc., as Amicus Curiae Supporting Plaintiff and Respondent, appeal docketed, No. S129463, California Supreme Court (Feb. 28, 2006)

Chapter 12 in Conflicts of Interest: Corporate Governance and Financial Markets, L. Thevenz & R. Bahar, eds., Kluwer (2006)

Fall of the Barriers Preventing Abuse of Trust and Deception: The Hidden Changes in Legal Doctrine and Legal Interpretation, 5 Law & Business IDC Herzelia, Radzyner School of Law 113 (2006)

How Did We Get into This Mess? 1 J. Bus. & Tech. L. 133 (2006)

The Mysterious Ways of Mutual Funds: Market Timing, with Lawrence A. Cunningham, 25 Ann. Rev. Bank. & Fin. L. 235 (2006)

Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities, 2d ed., Fathom Publishing Company (Ann Taylor Schwing, ed. 2006)

Using Sarbanes-Oxley Act to Reward Honest Corporations, 62 Bus. Law. 151 (2006)

What Default Rules Teach Us About Corporations; What Understanding Corporations Teaches Us About Default Rules, 33 Fla. St. U.L. Rev. 698 (2006) (also published in Fiduciary Obligations-Legal Perspectives, Amicus Books, Icafi University Press, Hyderabad, India-ed. Radhika G (2008) at 149)

2005

Investment Management Regulation, with Clifford E. Kirsch, 3d edition, Fathom Publishing (2005)

Review of David L. Smith, Why We Lie: The Evolutionary Roots of Deception and the Unconscious Mind, 5 Human Nature Rev. 45 (2005)

The Scope and Jurisprudence of the Investment Management Regulation, in Symposium on Hodge, 83 Wash. U. Sch. L. Rev. 939 (2005)

Why the Board is Broken, with Joseph Anton, Wall St. Law. 23 (Feb. 2005)

2004

Future Developments, A Future Development: Selling the Advisory Business, Wall St. Law. (2004).

Governing by Negotiation: The Internet Naming System, 12 Cardozo J.  Intl. Comp. L. 449 (2004).

Securitization: Supplement 2004, Aspen Law and Business (2004).

The Regulation of Money Managers: Supplement 2004, Ann Taylor Schwing, ed., Aspen Law and Business (2004)

The Seventh Circuit Decision in Wsol v. Fiduciary Management Associates and the Amendment to Rule 12b-1, 11 Inv. Law. No. 8, 11 (2004)

2003

Advisory Fees: Evolving Theories, 10 Inv. Law. 21 (2003)

Investment Management Regulation, with Clifford E. Kirsch, 2d ed., Fathom Publishing (2003)

The Regulation of Money Managers: 2003 Supplement, with Ann Taylor Schwing, ed., Aspen Law & Business (2003)

2002

The Delaware Business Trust Act Failure as the New Corporate Law, 23 Cardozo L. Rev. 325 (2002).

The Law of Cross-Border Securitization: Lex Juris, 12 Duke J. Comp. Intl. L. 475 (2002).

The Managing Lawmaker in Cyberspace: A Power Model, 27 Brook. L. Rev.  Intl. 859 (2002).

Regulation and Investors’ Trust in the Securities Markets, 68 Brook. L. Rev.  Intl. 439 (2002).

Accountability and Oversight of the Internet Corporation for Assigned Names and Numbers (ICANN), Report to the Markle Foundation on Corporate Governance (September 2002)

Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities, Cumulative Supplement, Aspen Law & Business (2002)

2001

The Delaware Business Trust Act Failure as the New Corporate Law, 23 Cardozo L. Rev. 325 (2001)

Non-Compete Obligations of Departing Star Partners and the Right of Clients to their Continued Services, 2 Villanova J. L. and Inv. Man. 6

Introduction: Symposium on Trust Relationships, with Wendy Gordon, 81 B.U. L. Rev. 321 (2001)

In Theory and Practice, 77 Chicago-Kent L. Rev. 5 (2001)

The Regulation of Money Managers, Mutual Funds and Advisers  (2d ed. Ann Taylor Schwing, ed., Aspen Law & Business 2001)

Trusting and Non-Trusting on the Internet, 81 B.U. L. Rev. 457 (2001)

2000

Accountants’ Independence; The Recent Dilemma, 2000 Columbia Bus. L. Rev. 261 (2000)

The Different Design of Corporate Governance under State Law and Federal Law and the Aftermath of the Strougo Case, 7 Inv. Law. 3 (2000)

The Regulation of Money Managers: 2000 Supplement, New York: Aspen Law & Business

Securitization (Asset-Backed Securities and Structured Financing) in Financial Product Fundamentals Law Business Compliance, Clifford E. Kirsch, ed. (2000)

Securitization: Supplement 2000, Aspen Law & Business (2000)

Securitizing Insurance Risks, with Joseph W. LaPlume, 19 Ann. Rev. Bank. L. 203 (2000)

1999

Cross-Border Securitization: Without Law, But Not Lawless, 31 Sec. L. Rev. 651

Securitization: The Conflict Between Personal and Market Law (Contract and Property), 18 Ann. Rev. Bank. L. 197

The Internet, Securities Regulation, and Theory of Law, Symposium on the Internet and Legal Theory, 73 Chicago-Kent L. Rev. 1319

Trends in the Regulation of Investment Companies and Investment Advisers, 1 Villanova J.L. & Inv. Man. 3

Trusting and Non-Trusting: Comparing Benefits, Cost and Risk, B.U.S.L. Working Paper 99-12 (October 13, 1999)

1998

Cross-Border Securitization: Without Law, But Not Lawless, 8 Duke J. Comp. Intl. L. 255

Fiduciary Duties in The New Palgrave Dictionary of Economics and the Law (Peter Newman, ed.), v. 2 at 127 (1998)

Investment Management Regulation, with Clifford E. Kirsch, Carolina Academic Press, 1998

Issues Concerning Soft Dollars, ALI-ABA Course Materials in ALI-ABA Advanced Course on Pension Funds, Washington, DC

Securitization: 1998 Supplement, Boston: Little, Brown & Company

The Regulation of Money Managers: 1998 Supplement, Boston: Little, Brown & Company

Trust and Contract in the U.S. and Japan with Norio Higuchi, 115 Hogaku Kyokai Zassi: J. Juris. Ass’n, 2

1997

Knowledge Transfer: Consulting and Teaching in China, in Legislative Drafting for Market Reform: Some Lessons from China, Ann Seidman & Robert B. Seidman, ed. London: MacMillian.

Securitization of Loans: Asset-Backed Securities and Structured Financing, in The Financial Services Revolution, Understanding the Changing Roles of Banks, Mutual Funds and Insurance Companies 447. Clifford E. Kirsch, ed. New York: McGraw-Hill.

Should Funds and Investment Advisers Establish a Self-Regulatory Organization? in The Financial Services Revolution, Understanding the Changing Roles of Banks, Mutual Funds and Insurance Companies. Clifford E. Kirsche, ed. New York: McGraw-Hill.

The 1996 Amendments of the Advisers Act, Proposed Implementing Rules, ALI-ABA Course Materials in ALI-ABA Advanced Course on Investment Advisors, Washington, DC

1996

Comments, Lessons From the Past: Revenge Yesterday and Today, 76 B.U. L. Rev. 89

Securitization; 1996 Supplement, Boston: Little, Brown & Company

Securitization of Loans: Asset-Backed Securities and Structured Financing, in The Financial Services Revolution, Understanding the Changing Roles of Banks, Mutual Funds and Insurance Companies 215.

The Regulation of Money Managers: 1996 Supplement, Boston: Little, Brown & Company

1995

Knowledge Transfer: Suggestions for Developing Countries on the Receiving End, 13 B.U. Intl. L.J. 141

Fiduciary Duties as Default Rules, 74 Ore. L. Rev. 1209

Symposium: A Recipe for Effecting Institutional Changes to Achieve Privatization, 13 B.U. Intl. L.J. 295

1994

Bank Powers to Sell Annuities, 49 Bus. Law. 1691

Enforcing Coasian Bribes for Non-Price Benefits: A New Role for Restitution, with W. Gordon, 67 S. Cal. L. Rev. 1519, reprinted in Restitution 347, Lionel D. Smith, Ed., Ashgate Publishing, U.K. (2001).

Presumptions and Burdens of Proof as Tools for Legal Stability and Change, 17 Harv. J. L. & Pub. Policy 759

Securitization; 1994 Supplement, Boston: Little, Brown & Company

The Pros and Cons of a Self-Regulatory Organization for Advisers and Mutual Funds, 1 Inv. Law. 6 (September)

The Regulation of Money Managers: 1994 Supplement, Boston: Little, Brown & Company

1993

Fiduciary Law in the United States, paper presented at the Second International Symposium on Trusts, Equity and Fiduciaries, Victoria, British Columbia, Canada ( January 1993)

Fiduciary Law: The Judicial Process and the Duty of Care, paper presented at the 1993 Isaac Pitblado Lectures University of Manitoba Law School (1993)

Securitization; 1993 Supplement, Boston: Little, Brown & Company

Securitization: Its Effect on Bank Structure in Klausner, M. and White L. (eds.), Structural Changes in Banking

Testimony before the Subcommittee on Economic Growth and Credit Formation of the Committee on Banking, Finance and Urban Affairs. U.S. House of Representatives (February 16, 1993)

The Legal Infrastructure of Markets: The Role of Contract and Property Law, 73 B.U. L. Rev.  389

The Regulation of Money Managers: 1993 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1992

Securitization: 1992 Supplement, with M. Utset, Little, Brown & Company

The Regulation of Money Managers: 1992 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1991

Securitization, Vols. I and II. Boston: Little, Brown & Company (two volume treatise)

The Regulation of Money Managers: 1991 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1990

The Investment Company Act as a Defense Strategy in Takeovers, 1 J. Mergers & Acq. Analysis 103

The Regulation of Money Managers: 1990 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1989

The Regulation of Money Managers: 1989 Supplement, Boston: Little, Brown & Company

What Can Be Done About Stock Market Volatility? 69 B.U. L. Rev. 991

1988

Book Review, International Cyclopedia of Comparative Law, 34 Am. J. Comp. L. 158.

The Regulation of Money Managers: 1988 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1987

The Dual State-Federal Regulation of Financial Institutions – A policy proposal, 53 Brooklyn Law Review 53

The Inapplicability of Market Theory to Adaptions, with Frances Miller, 67 B.U. L. Rev. 99

The Regulation of Money Managers: 1987 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1985

Corporate Directors Duty of Care: The American Law Institute Project on Corporate Governance, 52 Geo. Wash. L. Rev. 80l

The Regulation of Money Managers: 1985 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1984

Bank Loan Participations under the Securities Acts; The Implications of SIA v. Board of Governors, (Becker) 16th Annual Institute of Securities Regulation

Panel Member, Symposium: Current Issues in Corporate Governance, 45 Ohio St. L.J. 629

Social Investing, ch. 8 (Dan McGill, ed.) Pension Research Council, Wharton School, University of Pennsylvania

The Regulation of Money Managers: 1984 Supplement, Boston: Little, Brown & Company

1983

Fiduciary Law, 71 Cal. L. Rev. 795

The Power Struggle Between Shareholders and Directors: The Demand Requirement in Derivative Suits, with Wayne M. Barsky, 12 Hofstra L. Rev. 39

1981

Asset Management Inc., CCH (Current) 98, 386 at 92, 342 (S.D.N.Y.)

Implied Rights of Action, 67 Va. L. Rev. 553

Investment Company Advertising, 14 Review of Securities Regulation 957

Money Market Funds, 14 Review of Securities Regulations 913

1980

The Regulation of Money Managers, Boston: Little, Brown & Company (four volume treatise)

1978

Insider Transactions Under the 1940 Act, 11 Review of Securities Regulation 827

1977

Distribution of Mutual Fund Shares, 10 Review of Securities Regulation 860

1976

Variable Life Insurance, 4 Securities Regulation Law Journal 156

1973

Regulations of Variable Life Insurance, 48 Notre Dame Lawyer 1017

1971

Variable Annuities, Variable Insurance and Separate Accounts, 51 B.U. L. Rev. 173

1969

The Governor’s Private Eyes, 49 B.U. L. Rev. 627

1967

The Maloney Act Experiment, 6 Boston College Industrial & Commercial Law Review 187

Publications By Tamar Frankel

Publications by Tamar Frankel include her writings in the areas of mutual funds, securitization, financial system regulation, fiduciary law and corporate governance.

Go to earliest | 1970s | 1980s | 1990s | 2000s

2018

 

Trust but Verify: The Legal Duties of Broker-Dealers in the Financial System: Verdict-Legal Analysis and Commentary, 1 May  2018 

The Brokers’ War Against Fiduciary DutiesVerdict-Legal Analysis and Commentary, 14 Mar. 2018

2017

Bitcoins: The Evolution of Money and the Enforcement of LawVerdict-Legal Analysis and Commentary, 21 Dec. 2017

The Story of Grades: A Fable; Verdict-Legal Analysis and Commentary:Verdict-Legal Analysis and Commentary, 10 Nov. 2017

Rewarding Honesty in Institutions: Verdict-Legal Analysis and Commentary, 23 Oct. 2017 

2016

Bank’s Culture Problem: You Can’t Have Just One, American Banker-Law and Regulation, Vol.1 No. 223 (2016) SourceMedia, LLC

A story of Three Bank-Regulatory Legal Systems: Contract, Financial Management Regulation and Fiduciary Law, The University of Bologna Law Review,  Vol.1:1 (2016)

2015

The Regulation of Money Managers: 3d ed., with Arthur Laby, and Ann Taylor Schwing, ed.,  Wolters Kluwer

Investment Management Regulation, with Kenneth E. Burdon, 5d edition, Fathom Publishing (2015)

Did Commissioner Gallagher Violate SEC Rules, The Harvard Law School Forum on Corporate Governance and Financial Regulation (Jan. 7, 2015)

2014

Municipalities in Distress: A Preventive View, 33 Rev. Bank. & Fin. L. 779 (2014)

Toward Universal Fiduciary Principles, 39 Queen’s Law Journal – Faculty of Law, Queen’s University, No. 2, Spring 2014, was reproduced with permission of the Queen’s Law Journal – and published in the Conference proceedings – (Capitalism – the crisis of a religion?) organized by the ZRWP-Fellowship of the universities of Zurich, Basel and Lucerne, Switzerland. The title of the conference proceedings is Pfleiderer, Georg; Seele, Peter; Matern, Harald (eds), Kapitalismus – eine Religion in der Krise? Vol. II, Zurich / Baden-Baden 2015.

2013

Dismantling Large Bank Holding Companies for Their Own Good and the Good of the Country, Bank & Financial Services Policy Report, Vol. 32, No. 7 (July 2013)

Self-Regulation of Insider-Trading in Mutual Funds and Advisers – Brooklyn Journal of Corporate, Financial and Commercial Law, Volume 8, No. 1 (Fall 2013)

What Makes a Great Law School? Working Paper Series, Public Law & Legal Theory Working paper No. 01-13. – SSRN

2012

Legal Duties of Fiduciaries (2012)

The Failure of Investor Protection by Disclosure, 81 U. Cin. L. Rev. No. 2, Winter 2012

Chapter 19. The Influence of Investment Banks on Corporate Governance in Research Handbook on the Economics of Corporate Law 2012, Edward Elgar Publishing, Inc., Claire E. Hill & Brett H. McDonnell, eds.

Rethinking the American Dream, Femme-O-Nomics (April 2012)

2011

Fiduciary Law in the Twenty-First Century, 91 B.U. L. Rev. May 2011 Number 3

The Regulation of Brokers, Dealers, Advisors and Financial Planners, 30 Rev. Bank. Fin. L. (B.U. School of Law) (2010-2011)

Let the Securities and Exchange Commission Outsource Enforcement by Litigation: A Proposal, J. Bus & Sec. L. (Michigan State College of Law) Vol. 11, Fall Issue 1

2010

Fiduciary Law  (2010)

Mutual fund advisers fees and executive compensation, Palgrave Macmillian-International Journal of Disclosure & Governance. Volume 7, Issue 1 (February 2010)

Negotiating Mutual fund Adviser Fees: The Supreme Court has Spoken. This article is an update to Professor Frankel’s previous paper, ‘Mutual fund advisers ’ fees and executive compensation,’ published in the International Journal of Disclosure and Governance 7(1): 7 – 19. DOL:10.1057 / jdg.2009.26

New Financial Assets: Separating Ownership from Control, 33 Seattle U.L.Rev.931 (2010)

The Study of Sub-Prime Mortgage Disaster, Studi e Note di Economia, Anno XV, n. 1-2010, pages 141-160 (2010)

Chapter 9: Regulating the Financial Markets by Examination in the book The Panic of 2008: Causes,Consequences and Implications for Reform, (Editors: Lawrence E. Mitchell and Arthur E. Wilmarth) Publisher: Edgar Elgar (December 2010)

2009

Trust Honesty and Ethics in Business,  Finance & The Common Good/Bien Commun, No. 31-32-II-III (2008)

Chapter 1: Trust and the Internet in The ABA Guide to International Business Negotiations, J.Silkenat, J.Aresty, J.Klosek eds. (A comparison of Cross-Cultural Issues and Successful Approaches, 3d ed. (2009)

Statement Before U.S. Congress January 2009, Congressional Statement

2008

Corporate Boards of Directors: Advisors or Supervisors, 77 U. Cin. L. Rev. 501 (2008)

Private Investment Funds: Hedge Funds’ Regulation by Size, 39 Rutgers L.J. 657 (2008)

How Should the Financial Markets Be Regulated, Wall St. Law., October 2008, Vol 12 Issue 10.

Rethinking the American Dream, LAWDRAGON,  August, 2008

The Problems of Securitizing Sub-Prime Loans, 1 Asian Bus. Law.,  Spring 2008; The Korea University Legal Research Institute.

2007

Court of Law and Court of Public Opinion: Symbiotic Regulation of the Corporate Management Duty of Care, 3 N.Y.U. J. L. & Bus. 353 (2007)

Trust and Honesty in the Real World, with Mark Fagan, Fathom Publishing Company (2007)

2006

Trust and Honesty. America’s Business Culture at a Crossroad, Oxford University Press (2006)

Are Advisers Contributing to Fund Rule Avalanche? Ignite Magazine (April 2006)

Amicus Brief for City of Hope National Medical Center v. Genentech, Inc., as Amicus Curiae Supporting Plaintiff and Respondent, appeal docketed, No. S129463, California Supreme Court (Feb. 28, 2006)

Chapter 12 in Conflicts of Interest: Corporate Governance and Financial Markets, L. Thevenz & R. Bahar, eds., Kluwer (2006)

Fall of the Barriers Preventing Abuse of Trust and Deception: The Hidden Changes in Legal Doctrine and Legal Interpretation, 5 Law & Business IDC Herzelia, Radzyner School of Law 113 (2006)

How Did We Get into This Mess? 1 J. Bus. & Tech. L. 133 (2006)

The Mysterious Ways of Mutual Funds: Market Timing, with Lawrence A. Cunningham, 25 Ann. Rev. Bank. & Fin. L. 235 (2006)

Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities, 2d ed., Fathom Publishing Company (Ann Taylor Schwing, ed. 2006)

Using Sarbanes-Oxley Act to Reward Honest Corporations, 62 Bus. Law. 151 (2006)

What Default Rules Teach Us About Corporations; What Understanding Corporations Teaches Us About Default Rules, 33 Fla. St. U.L. Rev. 698 (2006) (also published in Fiduciary Obligations-Legal Perspectives, Amicus Books, Icafi University Press, Hyderabad, India-ed. Radhika G (2008) at 149)

2005

Investment Management Regulation, with Clifford E. Kirsch, 3d edition, Fathom Publishing (2005)

Review of David L. Smith, Why We Lie: The Evolutionary Roots of Deception and the Unconscious Mind, 5 Human Nature Rev. 45 (2005)

The Scope and Jurisprudence of the Investment Management Regulation, in Symposium on Hodge, 83 Wash. U. Sch. L. Rev. 939 (2005)

Why the Board is Broken, with Joseph Anton, Wall St. Law. 23 (Feb. 2005)

2004

Future Developments, A Future Development: Selling the Advisory Business, Wall St. Law. (2004).

Governing by Negotiation: The Internet Naming System, 12 Cardozo J.  Intl. Comp. L. 449 (2004).

Securitization: Supplement 2004, Aspen Law and Business (2004).

The Regulation of Money Managers: Supplement 2004, Ann Taylor Schwing, ed., Aspen Law and Business (2004)

The Seventh Circuit Decision in Wsol v. Fiduciary Management Associates and the Amendment to Rule 12b-1, 11 Inv. Law. No. 8, 11 (2004)

2003

Advisory Fees: Evolving Theories, 10 Inv. Law. 21 (2003)

Investment Management Regulation, with Clifford E. Kirsch, 2d ed., Fathom Publishing (2003)

The Regulation of Money Managers: 2003 Supplement, with Ann Taylor Schwing, ed., Aspen Law & Business (2003)

2002

The Delaware Business Trust Act Failure as the New Corporate Law, 23 Cardozo L. Rev. 325 (2002).

The Law of Cross-Border Securitization: Lex Juris, 12 Duke J. Comp. Intl. L. 475 (2002).

The Managing Lawmaker in Cyberspace: A Power Model, 27 Brook. L. Rev.  Intl. 859 (2002).

Regulation and Investors’ Trust in the Securities Markets, 68 Brook. L. Rev.  Intl. 439 (2002).

Accountability and Oversight of the Internet Corporation for Assigned Names and Numbers (ICANN), Report to the Markle Foundation on Corporate Governance (September 2002)

Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities, Cumulative Supplement, Aspen Law & Business (2002)

2001

The Delaware Business Trust Act Failure as the New Corporate Law, 23 Cardozo L. Rev. 325 (2001)

Non-Compete Obligations of Departing Star Partners and the Right of Clients to their Continued Services, 2 Villanova J. L. and Inv. Man. 6

Introduction: Symposium on Trust Relationships, with Wendy Gordon, 81 B.U. L. Rev. 321 (2001)

In Theory and Practice, 77 Chicago-Kent L. Rev. 5 (2001)

The Regulation of Money Managers, Mutual Funds and Advisers  (2d ed. Ann Taylor Schwing, ed., Aspen Law & Business 2001)

Trusting and Non-Trusting on the Internet, 81 B.U. L. Rev. 457 (2001)

2000

Accountants’ Independence; The Recent Dilemma, 2000 Columbia Bus. L. Rev. 261 (2000)

The Different Design of Corporate Governance under State Law and Federal Law and the Aftermath of the Strougo Case, 7 Inv. Law. 3 (2000)

The Regulation of Money Managers: 2000 Supplement, New York: Aspen Law & Business

Securitization (Asset-Backed Securities and Structured Financing) in Financial Product Fundamentals Law Business Compliance, Clifford E. Kirsch, ed. (2000)

Securitization: Supplement 2000, Aspen Law & Business (2000)

Securitizing Insurance Risks, with Joseph W. LaPlume, 19 Ann. Rev. Bank. L. 203 (2000)

1999

Cross-Border Securitization: Without Law, But Not Lawless, 31 Sec. L. Rev. 651

Securitization: The Conflict Between Personal and Market Law (Contract and Property), 18 Ann. Rev. Bank. L. 197

The Internet, Securities Regulation, and Theory of Law, Symposium on the Internet and Legal Theory, 73 Chicago-Kent L. Rev. 1319

Trends in the Regulation of Investment Companies and Investment Advisers, 1 Villanova J.L. & Inv. Man. 3

Trusting and Non-Trusting: Comparing Benefits, Cost and Risk, B.U.S.L. Working Paper 99-12 (October 13, 1999)

1998

Cross-Border Securitization: Without Law, But Not Lawless, 8 Duke J. Comp. Intl. L. 255

Fiduciary Duties in The New Palgrave Dictionary of Economics and the Law (Peter Newman, ed.), v. 2 at 127 (1998)

Investment Management Regulation, with Clifford E. Kirsch, Carolina Academic Press, 1998

Issues Concerning Soft Dollars, ALI-ABA Course Materials in ALI-ABA Advanced Course on Pension Funds, Washington, DC

Securitization: 1998 Supplement, Boston: Little, Brown & Company

The Regulation of Money Managers: 1998 Supplement, Boston: Little, Brown & Company

Trust and Contract in the U.S. and Japan with Norio Higuchi, 115 Hogaku Kyokai Zassi: J. Juris. Ass’n, 2

1997

Knowledge Transfer: Consulting and Teaching in China, in Legislative Drafting for Market Reform: Some Lessons from China, Ann Seidman & Robert B. Seidman, ed. London: MacMillian.

Securitization of Loans: Asset-Backed Securities and Structured Financing, in The Financial Services Revolution, Understanding the Changing Roles of Banks, Mutual Funds and Insurance Companies 447. Clifford E. Kirsch, ed. New York: McGraw-Hill.

Should Funds and Investment Advisers Establish a Self-Regulatory Organization? in The Financial Services Revolution, Understanding the Changing Roles of Banks, Mutual Funds and Insurance Companies. Clifford E. Kirsche, ed. New York: McGraw-Hill.

The 1996 Amendments of the Advisers Act, Proposed Implementing Rules, ALI-ABA Course Materials in ALI-ABA Advanced Course on Investment Advisors, Washington, DC

1996

Comments, Lessons From the Past: Revenge Yesterday and Today, 76 B.U. L. Rev. 89

Securitization; 1996 Supplement, Boston: Little, Brown & Company

Securitization of Loans: Asset-Backed Securities and Structured Financing, in The Financial Services Revolution, Understanding the Changing Roles of Banks, Mutual Funds and Insurance Companies 215.

The Regulation of Money Managers: 1996 Supplement, Boston: Little, Brown & Company

1995

Knowledge Transfer: Suggestions for Developing Countries on the Receiving End, 13 B.U. Intl. L.J. 141

Fiduciary Duties as Default Rules, 74 Ore. L. Rev. 1209

Symposium: A Recipe for Effecting Institutional Changes to Achieve Privatization, 13 B.U. Intl. L.J. 295

1994

Bank Powers to Sell Annuities, 49 Bus. Law. 1691

Enforcing Coasian Bribes for Non-Price Benefits: A New Role for Restitution, with W. Gordon, 67 S. Cal. L. Rev. 1519, reprinted in Restitution 347, Lionel D. Smith, Ed., Ashgate Publishing, U.K. (2001).

Presumptions and Burdens of Proof as Tools for Legal Stability and Change, 17 Harv. J. L. & Pub. Policy 759

Securitization; 1994 Supplement, Boston: Little, Brown & Company

The Pros and Cons of a Self-Regulatory Organization for Advisers and Mutual Funds, 1 Inv. Law. 6 (September)

The Regulation of Money Managers: 1994 Supplement, Boston: Little, Brown & Company

1993

Fiduciary Law in the United States, paper presented at the Second International Symposium on Trusts, Equity and Fiduciaries, Victoria, British Columbia, Canada ( January 1993)

Fiduciary Law: The Judicial Process and the Duty of Care, paper presented at the 1993 Isaac Pitblado Lectures University of Manitoba Law School (1993)

Securitization; 1993 Supplement, Boston: Little, Brown & Company

Securitization: Its Effect on Bank Structure in Klausner, M. and White L. (eds.), Structural Changes in Banking

Testimony before the Subcommittee on Economic Growth and Credit Formation of the Committee on Banking, Finance and Urban Affairs. U.S. House of Representatives (February 16, 1993)

The Legal Infrastructure of Markets: The Role of Contract and Property Law, 73 B.U. L. Rev.  389

The Regulation of Money Managers: 1993 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1992

Securitization: 1992 Supplement, with M. Utset, Little, Brown & Company

The Regulation of Money Managers: 1992 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1991

Securitization, Vols. I and II. Boston: Little, Brown & Company (two volume treatise)

The Regulation of Money Managers: 1991 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1990

The Investment Company Act as a Defense Strategy in Takeovers, 1 J. Mergers & Acq. Analysis 103

The Regulation of Money Managers: 1990 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1989

The Regulation of Money Managers: 1989 Supplement, Boston: Little, Brown & Company

What Can Be Done About Stock Market Volatility? 69 B.U. L. Rev. 991

1988

Book Review, International Cyclopedia of Comparative Law, 34 Am. J. Comp. L. 158.

The Regulation of Money Managers: 1988 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1987

The Dual State-Federal Regulation of Financial Institutions – A policy proposal, 53 Brooklyn Law Review 53

The Inapplicability of Market Theory to Adaptions, with Frances Miller, 67 B.U. L. Rev. 99

The Regulation of Money Managers: 1987 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1985

Corporate Directors Duty of Care: The American Law Institute Project on Corporate Governance, 52 Geo. Wash. L. Rev. 80l

The Regulation of Money Managers: 1985 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1984

Bank Loan Participations under the Securities Acts; The Implications of SIA v. Board of Governors, (Becker) 16th Annual Institute of Securities Regulation

Panel Member, Symposium: Current Issues in Corporate Governance, 45 Ohio St. L.J. 629

Social Investing, ch. 8 (Dan McGill, ed.) Pension Research Council, Wharton School, University of Pennsylvania

The Regulation of Money Managers: 1984 Supplement, Boston: Little, Brown & Company

1983

Fiduciary Law, 71 Cal. L. Rev. 795

The Power Struggle Between Shareholders and Directors: The Demand Requirement in Derivative Suits, with Wayne M. Barsky, 12 Hofstra L. Rev. 39

1981

Asset Management Inc., CCH (Current) 98, 386 at 92, 342 (S.D.N.Y.)

Implied Rights of Action, 67 Va. L. Rev. 553

Investment Company Advertising, 14 Review of Securities Regulation 957

Money Market Funds, 14 Review of Securities Regulations 913

1980

The Regulation of Money Managers, Boston: Little, Brown & Company (four volume treatise)

1978

Insider Transactions Under the 1940 Act, 11 Review of Securities Regulation 827

1977

Distribution of Mutual Fund Shares, 10 Review of Securities Regulation 860

1976

Variable Life Insurance, 4 Securities Regulation Law Journal 156

1973

Regulations of Variable Life Insurance, 48 Notre Dame Lawyer 1017

1971

Variable Annuities, Variable Insurance and Separate Accounts, 51 B.U. L. Rev. 173

1969

The Governor’s Private Eyes, 49 B.U. L. Rev. 627

1967

The Maloney Act Experiment, 6 Boston College Industrial & Commercial Law Review 187

Publications By Tamar Frankel

Publications by Tamar Frankel include her writings in the areas of mutual funds, securitization, financial system regulation, fiduciary law and corporate governance.

Go to earliest | 1970s | 1980s | 1990s | 2000s

2018

 

Trust but Verify: The Legal Duties of Broker-Dealers in the Financial System: Verdict-Legal Analysis and Commentary, 1 May  2018 

The Brokers’ War Against Fiduciary DutiesVerdict-Legal Analysis and Commentary, 14 Mar. 2018

2017

Bitcoins: The Evolution of Money and the Enforcement of LawVerdict-Legal Analysis and Commentary, 21 Dec. 2017

The Story of Grades: A Fable; Verdict-Legal Analysis and Commentary:Verdict-Legal Analysis and Commentary, 10 Nov. 2017

Rewarding Honesty in Institutions: Verdict-Legal Analysis and Commentary, 23 Oct. 2017 

2016

Bank’s Culture Problem: You Can’t Have Just One, American Banker-Law and Regulation, Vol.1 No. 223 (2016) SourceMedia, LLC

A story of Three Bank-Regulatory Legal Systems: Contract, Financial Management Regulation and Fiduciary Law, The University of Bologna Law Review,  Vol.1:1 (2016)

2015

The Regulation of Money Managers: 3d ed., with Arthur Laby, and Ann Taylor Schwing, ed.,  Wolters Kluwer

Investment Management Regulation, with Kenneth E. Burdon, 5d edition, Fathom Publishing (2015)

Did Commissioner Gallagher Violate SEC Rules, The Harvard Law School Forum on Corporate Governance and Financial Regulation (Jan. 7, 2015)

2014

Municipalities in Distress: A Preventive View, 33 Rev. Bank. & Fin. L. 779 (2014)

Toward Universal Fiduciary Principles, 39 Queen’s Law Journal – Faculty of Law, Queen’s University, No. 2, Spring 2014, was reproduced with permission of the Queen’s Law Journal – and published in the Conference proceedings – (Capitalism – the crisis of a religion?) organized by the ZRWP-Fellowship of the universities of Zurich, Basel and Lucerne, Switzerland. The title of the conference proceedings is Pfleiderer, Georg; Seele, Peter; Matern, Harald (eds), Kapitalismus – eine Religion in der Krise? Vol. II, Zurich / Baden-Baden 2015.

2013

Dismantling Large Bank Holding Companies for Their Own Good and the Good of the Country, Bank & Financial Services Policy Report, Vol. 32, No. 7 (July 2013)

Self-Regulation of Insider-Trading in Mutual Funds and Advisers – Brooklyn Journal of Corporate, Financial and Commercial Law, Volume 8, No. 1 (Fall 2013)

What Makes a Great Law School? Working Paper Series, Public Law & Legal Theory Working paper No. 01-13. – SSRN

2012

Legal Duties of Fiduciaries (2012)

The Failure of Investor Protection by Disclosure, 81 U. Cin. L. Rev. No. 2, Winter 2012

Chapter 19. The Influence of Investment Banks on Corporate Governance in Research Handbook on the Economics of Corporate Law 2012, Edward Elgar Publishing, Inc., Claire E. Hill & Brett H. McDonnell, eds.

Rethinking the American Dream, Femme-O-Nomics (April 2012)

2011

Fiduciary Law in the Twenty-First Century, 91 B.U. L. Rev. May 2011 Number 3

The Regulation of Brokers, Dealers, Advisors and Financial Planners, 30 Rev. Bank. Fin. L. (B.U. School of Law) (2010-2011)

Let the Securities and Exchange Commission Outsource Enforcement by Litigation: A Proposal, J. Bus & Sec. L. (Michigan State College of Law) Vol. 11, Fall Issue 1

2010

Fiduciary Law  (2010)

Mutual fund advisers fees and executive compensation, Palgrave Macmillian-International Journal of Disclosure & Governance. Volume 7, Issue 1 (February 2010)

Negotiating Mutual fund Adviser Fees: The Supreme Court has Spoken. This article is an update to Professor Frankel’s previous paper, ‘Mutual fund advisers ’ fees and executive compensation,’ published in the International Journal of Disclosure and Governance 7(1): 7 – 19. DOL:10.1057 / jdg.2009.26

New Financial Assets: Separating Ownership from Control, 33 Seattle U.L.Rev.931 (2010)

The Study of Sub-Prime Mortgage Disaster, Studi e Note di Economia, Anno XV, n. 1-2010, pages 141-160 (2010)

Chapter 9: Regulating the Financial Markets by Examination in the book The Panic of 2008: Causes,Consequences and Implications for Reform, (Editors: Lawrence E. Mitchell and Arthur E. Wilmarth) Publisher: Edgar Elgar (December 2010)

2009

Trust Honesty and Ethics in Business,  Finance & The Common Good/Bien Commun, No. 31-32-II-III (2008)

Chapter 1: Trust and the Internet in The ABA Guide to International Business Negotiations, J.Silkenat, J.Aresty, J.Klosek eds. (A comparison of Cross-Cultural Issues and Successful Approaches, 3d ed. (2009)

Statement Before U.S. Congress January 2009, Congressional Statement

2008

Corporate Boards of Directors: Advisors or Supervisors, 77 U. Cin. L. Rev. 501 (2008)

Private Investment Funds: Hedge Funds’ Regulation by Size, 39 Rutgers L.J. 657 (2008)

How Should the Financial Markets Be Regulated, Wall St. Law., October 2008, Vol 12 Issue 10.

Rethinking the American Dream, LAWDRAGON,  August, 2008

The Problems of Securitizing Sub-Prime Loans, 1 Asian Bus. Law.,  Spring 2008; The Korea University Legal Research Institute.

2007

Court of Law and Court of Public Opinion: Symbiotic Regulation of the Corporate Management Duty of Care, 3 N.Y.U. J. L. & Bus. 353 (2007)

Trust and Honesty in the Real World, with Mark Fagan, Fathom Publishing Company (2007)

2006

Trust and Honesty. America’s Business Culture at a Crossroad, Oxford University Press (2006)

Are Advisers Contributing to Fund Rule Avalanche? Ignite Magazine (April 2006)

Amicus Brief for City of Hope National Medical Center v. Genentech, Inc., as Amicus Curiae Supporting Plaintiff and Respondent, appeal docketed, No. S129463, California Supreme Court (Feb. 28, 2006)

Chapter 12 in Conflicts of Interest: Corporate Governance and Financial Markets, L. Thevenz & R. Bahar, eds., Kluwer (2006)

Fall of the Barriers Preventing Abuse of Trust and Deception: The Hidden Changes in Legal Doctrine and Legal Interpretation, 5 Law & Business IDC Herzelia, Radzyner School of Law 113 (2006)

How Did We Get into This Mess? 1 J. Bus. & Tech. L. 133 (2006)

The Mysterious Ways of Mutual Funds: Market Timing, with Lawrence A. Cunningham, 25 Ann. Rev. Bank. & Fin. L. 235 (2006)

Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities, 2d ed., Fathom Publishing Company (Ann Taylor Schwing, ed. 2006)

Using Sarbanes-Oxley Act to Reward Honest Corporations, 62 Bus. Law. 151 (2006)

What Default Rules Teach Us About Corporations; What Understanding Corporations Teaches Us About Default Rules, 33 Fla. St. U.L. Rev. 698 (2006) (also published in Fiduciary Obligations-Legal Perspectives, Amicus Books, Icafi University Press, Hyderabad, India-ed. Radhika G (2008) at 149)

2005

Investment Management Regulation, with Clifford E. Kirsch, 3d edition, Fathom Publishing (2005)

Review of David L. Smith, Why We Lie: The Evolutionary Roots of Deception and the Unconscious Mind, 5 Human Nature Rev. 45 (2005)

The Scope and Jurisprudence of the Investment Management Regulation, in Symposium on Hodge, 83 Wash. U. Sch. L. Rev. 939 (2005)

Why the Board is Broken, with Joseph Anton, Wall St. Law. 23 (Feb. 2005)

2004

Future Developments, A Future Development: Selling the Advisory Business, Wall St. Law. (2004).

Governing by Negotiation: The Internet Naming System, 12 Cardozo J.  Intl. Comp. L. 449 (2004).

Securitization: Supplement 2004, Aspen Law and Business (2004).

The Regulation of Money Managers: Supplement 2004, Ann Taylor Schwing, ed., Aspen Law and Business (2004)

The Seventh Circuit Decision in Wsol v. Fiduciary Management Associates and the Amendment to Rule 12b-1, 11 Inv. Law. No. 8, 11 (2004)

2003

Advisory Fees: Evolving Theories, 10 Inv. Law. 21 (2003)

Investment Management Regulation, with Clifford E. Kirsch, 2d ed., Fathom Publishing (2003)

The Regulation of Money Managers: 2003 Supplement, with Ann Taylor Schwing, ed., Aspen Law & Business (2003)

2002

The Delaware Business Trust Act Failure as the New Corporate Law, 23 Cardozo L. Rev. 325 (2002).

The Law of Cross-Border Securitization: Lex Juris, 12 Duke J. Comp. Intl. L. 475 (2002).

The Managing Lawmaker in Cyberspace: A Power Model, 27 Brook. L. Rev.  Intl. 859 (2002).

Regulation and Investors’ Trust in the Securities Markets, 68 Brook. L. Rev.  Intl. 439 (2002).

Accountability and Oversight of the Internet Corporation for Assigned Names and Numbers (ICANN), Report to the Markle Foundation on Corporate Governance (September 2002)

Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities, Cumulative Supplement, Aspen Law & Business (2002)

2001

The Delaware Business Trust Act Failure as the New Corporate Law, 23 Cardozo L. Rev. 325 (2001)

Non-Compete Obligations of Departing Star Partners and the Right of Clients to their Continued Services, 2 Villanova J. L. and Inv. Man. 6

Introduction: Symposium on Trust Relationships, with Wendy Gordon, 81 B.U. L. Rev. 321 (2001)

In Theory and Practice, 77 Chicago-Kent L. Rev. 5 (2001)

The Regulation of Money Managers, Mutual Funds and Advisers  (2d ed. Ann Taylor Schwing, ed., Aspen Law & Business 2001)

Trusting and Non-Trusting on the Internet, 81 B.U. L. Rev. 457 (2001)

2000

Accountants’ Independence; The Recent Dilemma, 2000 Columbia Bus. L. Rev. 261 (2000)

The Different Design of Corporate Governance under State Law and Federal Law and the Aftermath of the Strougo Case, 7 Inv. Law. 3 (2000)

The Regulation of Money Managers: 2000 Supplement, New York: Aspen Law & Business

Securitization (Asset-Backed Securities and Structured Financing) in Financial Product Fundamentals Law Business Compliance, Clifford E. Kirsch, ed. (2000)

Securitization: Supplement 2000, Aspen Law & Business (2000)

Securitizing Insurance Risks, with Joseph W. LaPlume, 19 Ann. Rev. Bank. L. 203 (2000)

1999

Cross-Border Securitization: Without Law, But Not Lawless, 31 Sec. L. Rev. 651

Securitization: The Conflict Between Personal and Market Law (Contract and Property), 18 Ann. Rev. Bank. L. 197

The Internet, Securities Regulation, and Theory of Law, Symposium on the Internet and Legal Theory, 73 Chicago-Kent L. Rev. 1319

Trends in the Regulation of Investment Companies and Investment Advisers, 1 Villanova J.L. & Inv. Man. 3

Trusting and Non-Trusting: Comparing Benefits, Cost and Risk, B.U.S.L. Working Paper 99-12 (October 13, 1999)

1998

Cross-Border Securitization: Without Law, But Not Lawless, 8 Duke J. Comp. Intl. L. 255

Fiduciary Duties in The New Palgrave Dictionary of Economics and the Law (Peter Newman, ed.), v. 2 at 127 (1998)

Investment Management Regulation, with Clifford E. Kirsch, Carolina Academic Press, 1998

Issues Concerning Soft Dollars, ALI-ABA Course Materials in ALI-ABA Advanced Course on Pension Funds, Washington, DC

Securitization: 1998 Supplement, Boston: Little, Brown & Company

The Regulation of Money Managers: 1998 Supplement, Boston: Little, Brown & Company

Trust and Contract in the U.S. and Japan with Norio Higuchi, 115 Hogaku Kyokai Zassi: J. Juris. Ass’n, 2

1997

Knowledge Transfer: Consulting and Teaching in China, in Legislative Drafting for Market Reform: Some Lessons from China, Ann Seidman & Robert B. Seidman, ed. London: MacMillian.

Securitization of Loans: Asset-Backed Securities and Structured Financing, in The Financial Services Revolution, Understanding the Changing Roles of Banks, Mutual Funds and Insurance Companies 447. Clifford E. Kirsch, ed. New York: McGraw-Hill.

Should Funds and Investment Advisers Establish a Self-Regulatory Organization? in The Financial Services Revolution, Understanding the Changing Roles of Banks, Mutual Funds and Insurance Companies. Clifford E. Kirsche, ed. New York: McGraw-Hill.

The 1996 Amendments of the Advisers Act, Proposed Implementing Rules, ALI-ABA Course Materials in ALI-ABA Advanced Course on Investment Advisors, Washington, DC

1996

Comments, Lessons From the Past: Revenge Yesterday and Today, 76 B.U. L. Rev. 89

Securitization; 1996 Supplement, Boston: Little, Brown & Company

Securitization of Loans: Asset-Backed Securities and Structured Financing, in The Financial Services Revolution, Understanding the Changing Roles of Banks, Mutual Funds and Insurance Companies 215.

The Regulation of Money Managers: 1996 Supplement, Boston: Little, Brown & Company

1995

Knowledge Transfer: Suggestions for Developing Countries on the Receiving End, 13 B.U. Intl. L.J. 141

Fiduciary Duties as Default Rules, 74 Ore. L. Rev. 1209

Symposium: A Recipe for Effecting Institutional Changes to Achieve Privatization, 13 B.U. Intl. L.J. 295

1994

Bank Powers to Sell Annuities, 49 Bus. Law. 1691

Enforcing Coasian Bribes for Non-Price Benefits: A New Role for Restitution, with W. Gordon, 67 S. Cal. L. Rev. 1519, reprinted in Restitution 347, Lionel D. Smith, Ed., Ashgate Publishing, U.K. (2001).

Presumptions and Burdens of Proof as Tools for Legal Stability and Change, 17 Harv. J. L. & Pub. Policy 759

Securitization; 1994 Supplement, Boston: Little, Brown & Company

The Pros and Cons of a Self-Regulatory Organization for Advisers and Mutual Funds, 1 Inv. Law. 6 (September)

The Regulation of Money Managers: 1994 Supplement, Boston: Little, Brown & Company

1993

Fiduciary Law in the United States, paper presented at the Second International Symposium on Trusts, Equity and Fiduciaries, Victoria, British Columbia, Canada ( January 1993)

Fiduciary Law: The Judicial Process and the Duty of Care, paper presented at the 1993 Isaac Pitblado Lectures University of Manitoba Law School (1993)

Securitization; 1993 Supplement, Boston: Little, Brown & Company

Securitization: Its Effect on Bank Structure in Klausner, M. and White L. (eds.), Structural Changes in Banking

Testimony before the Subcommittee on Economic Growth and Credit Formation of the Committee on Banking, Finance and Urban Affairs. U.S. House of Representatives (February 16, 1993)

The Legal Infrastructure of Markets: The Role of Contract and Property Law, 73 B.U. L. Rev.  389

The Regulation of Money Managers: 1993 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1992

Securitization: 1992 Supplement, with M. Utset, Little, Brown & Company

The Regulation of Money Managers: 1992 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1991

Securitization, Vols. I and II. Boston: Little, Brown & Company (two volume treatise)

The Regulation of Money Managers: 1991 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1990

The Investment Company Act as a Defense Strategy in Takeovers, 1 J. Mergers & Acq. Analysis 103

The Regulation of Money Managers: 1990 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1989

The Regulation of Money Managers: 1989 Supplement, Boston: Little, Brown & Company

What Can Be Done About Stock Market Volatility? 69 B.U. L. Rev. 991

1988

Book Review, International Cyclopedia of Comparative Law, 34 Am. J. Comp. L. 158.

The Regulation of Money Managers: 1988 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1987

The Dual State-Federal Regulation of Financial Institutions – A policy proposal, 53 Brooklyn Law Review 53

The Inapplicability of Market Theory to Adaptions, with Frances Miller, 67 B.U. L. Rev. 99

The Regulation of Money Managers: 1987 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1985

Corporate Directors Duty of Care: The American Law Institute Project on Corporate Governance, 52 Geo. Wash. L. Rev. 80l

The Regulation of Money Managers: 1985 Supplement, with J. Deland and J. Mazer, Little, Brown & Company

1984

Bank Loan Participations under the Securities Acts; The Implications of SIA v. Board of Governors, (Becker) 16th Annual Institute of Securities Regulation

Panel Member, Symposium: Current Issues in Corporate Governance, 45 Ohio St. L.J. 629

Social Investing, ch. 8 (Dan McGill, ed.) Pension Research Council, Wharton School, University of Pennsylvania

The Regulation of Money Managers: 1984 Supplement, Boston: Little, Brown & Company

1983

Fiduciary Law, 71 Cal. L. Rev. 795

The Power Struggle Between Shareholders and Directors: The Demand Requirement in Derivative Suits, with Wayne M. Barsky, 12 Hofstra L. Rev. 39

1981

Asset Management Inc., CCH (Current) 98, 386 at 92, 342 (S.D.N.Y.)

Implied Rights of Action, 67 Va. L. Rev. 553

Investment Company Advertising, 14 Review of Securities Regulation 957

Money Market Funds, 14 Review of Securities Regulations 913

1980

The Regulation of Money Managers, Boston: Little, Brown & Company (four volume treatise)

1978

Insider Transactions Under the 1940 Act, 11 Review of Securities Regulation 827

1977

Distribution of Mutual Fund Shares, 10 Review of Securities Regulation 860

1976

Variable Life Insurance, 4 Securities Regulation Law Journal 156

1973

Regulations of Variable Life Insurance, 48 Notre Dame Lawyer 1017

1971

Variable Annuities, Variable Insurance and Separate Accounts, 51 B.U. L. Rev. 173

1969

The Governor’s Private Eyes, 49 B.U. L. Rev. 627

1967

The Maloney Act Experiment, 6 Boston College Industrial & Commercial Law Review 187