Part of the Banking and Finance Law Commons

Works in Banking and Finance Law

2023

Racial Pay Equity in “White” Collar Workplaces, Nantiya Ruan
Brooklyn Law Review

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2022

The Development of the American “Security Interest” and its Effect on the International Harmonization of Security Rights, Henry Gabriel
Brooklyn Journal of Corporate, Financial & Commercial Law

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The Internet is for Porn…Or Is It? Fair Access to Financial Services and The Need for OnlyPorn Legislation, Emily Pollak
Brooklyn Journal of Corporate, Financial & Commercial Law

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Targeted Regulation of Proxy Voting Advice: Balancing Monitoring with Information Flow in the Age of ESG, Jara R.Y. Jacobson
Brooklyn Journal of Corporate, Financial & Commercial Law

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In Vogue Again: The Re-Rise of SPACS in the IPO Market, Maria Lucia Passador
Brooklyn Journal of Corporate, Financial & Commercial Law

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Walking Between the Lines: Why the Wright Line Standard is Not Always Applicable While Employees Demand Safer COVID-19 Working Conditions, Michelle Verkhoglaz
Brooklyn Journal of Corporate, Financial & Commercial Law

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Freeing Cryptoassets from Howey: A Defense of Genuine Token Offering, Kathryn A. Daly
Brooklyn Journal of Corporate, Financial & Commercial Law

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Mutual Fund Advisory Fees: Forty Years of Failure, Stewart L. Brown PhD., CFA
Brooklyn Journal of Corporate, Financial & Commercial Law

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A True Sense of Security: How Kirschner v. J.P. Morgan Chase Illustrates the Failings of the Reves Family-Resemblance Test and the Need to Recognize Some Syndicated Loans as Securities for the Sake of the Financial System, Aidan D. Mulry
Brooklyn Law Review

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How Discretionary Decision-Making Impacts the Financial Performance and Legal Disclosures of S&P 500 Funds, Bernard S. Sharfman, Vincent Deluard
Brooklyn Law Review

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2021

Avoiding Wasteful Competition: Why Trading on Inside Information Should Be Illegal, Michael D. Guttentag
Brooklyn Law Review

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Karmel’s Dissent: The SEC’s Use and Occasional Misuse of Section 21(a) Reports of Investigation, James J. Park
Brooklyn Journal of Corporate, Financial & Commercial Law

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Personal Insolvency in China: Necessities, Difficulties, and Possibilities, Rebecca Parry, Haizheng Zhang, Jiahui Fu
Brooklyn Journal of International Law

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REDUCING CONFLICTS OF INTEREST: A "GLASS-STEAGALL" SPLIT OF ADVISORY AND CONSULTING SERVICES OF PROXY ADVISORY FIRMS, Austin Manna
Brooklyn Journal of Corporate, Financial & Commercial Law

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PROXY ADVISORS AS ISSUE SPOTTERS, Douglas Sarro
Brooklyn Journal of Corporate, Financial & Commercial Law

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A REJECTION OF ABSOLUTIST DUTIES AS A BARRIER TO CREDITOR PROTECTION: FACILITATING DIRECTORIAL DECISIVNESS SURROUNDING INSOLVENCY THROUGH THE BUSINESS JUDGMENT RULE, Philip Gavin
Brooklyn Journal of Corporate, Financial & Commercial Law

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Looking Forward: Professor Roberta Karmel's Prescient Views on the Transformation of Self-Regulatory Organizations and of the Securities Market Structure at the Turn of the Last Century, James Fanto
Faculty Scholarship

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Symposium Introduction: A Tribute to Roberta Karmel, James Fanto
Faculty Scholarship

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2020

Lending Innovations, Xuan-Thao Nguyen
Brooklyn Law Review

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China's Belt and Road Initiative: An Examination of Project Financing Issues and Alternatives, August Nelson Dinwiddie
Brooklyn Journal of International Law

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UNMASKING THE VILLAIN: EXPOSING SCAMMERS’ IDENTITIES TO DEFEAT HARMFUL CALLS, Katherine Teng
Brooklyn Journal of Corporate, Financial & Commercial Law

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“ESTONIA’S GIFT TO THE WORLD”: THE IMPLEMENTATION OF A BLOCKCHAIN PROTOCOL FOR CORPORATE GOVERNANCE IN NEW YORK, Sydney Lauren Abualy
Brooklyn Journal of Corporate, Financial & Commercial Law

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A TAXONOMY OF CRYPTOCURRENCY ENFORCEMENT ACTIONS, Peter J. Henning
Brooklyn Journal of Corporate, Financial & Commercial Law

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THE CRIMINAL, REGULATORY, AND CIVIL ISSUES SURROUNDING INTELLECTUAL PROPERTY AND CYBERSECURITY, Ernest Edward Badway, Christie McGuinness
Brooklyn Journal of Corporate, Financial & Commercial Law

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REVISING THE DEBT LIMIT FOR “SMALL BUSINESS DEBTORS”: THE LEGISLATIVE HALF-MEASURE OF THE SMALL BUSINESS REORGANIZATION ACT, Michael C. Blackmon
Brooklyn Journal of Corporate, Financial & Commercial Law

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Little Power Struggles Everywhere: Attacks on the Administrative State at the Securities and Exchange Commission, Roberta S. Karmel
Faculty Scholarship

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Buyer Beware: Variation and Opacity in ESG and ESG Index Funds, Dana Brakman Reiser, Anne Tucker
Faculty Scholarship

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2019

Artificial Intelligence & Artificial Prices: Safeguarding Securities Markets from Manipulation by Non-Human Actors, Daniel W. Slemmer
Brooklyn Journal of Corporate, Financial & Commercial Law

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Compliance Officers: Personal Liability, Protections, and Posture, Jennifer M. Pacella
Brooklyn Journal of Corporate, Financial & Commercial Law

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Things Fall Apart (Next Door): Discriminatory Maintenance and Decreased Home Values as the Next Fair Housing Battleground, Michelle Y. Ewert
Brooklyn Law Review

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Why Does the SEC Hate Lawyers and Will the Bitterness Ever Go Away: A Review of the Reasons for the Current State of this Relationship and a Proposed Path Forward, Ernest Edward Badway, Joshua Horn, Christie McGuinness
Brooklyn Journal of Corporate, Financial & Commercial Law

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2018

Transparency in Corporate Groups, Jay Lawrence Westbrook
Brooklyn Journal of Corporate, Financial & Commercial Law

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Backstop, not Bailout: The Case for Preserving the Orderly Liquidation Authority under Dodd-Frank, Mark R. Maciuch
Brooklyn Journal of Corporate, Financial & Commercial Law

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Insider Trading: Are Insolvent Firms Different?, Andrew Verstein
Brooklyn Journal of Corporate, Financial & Commercial Law

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The End of the Home Affordable Modification Program and the Start of a New Problem, Christopher K. Whelan
Brooklyn Law Review

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FINANCING GREEN: REFORMING GREEN BOND REGULATION IN THE UNITED STATES, Echo Kaixi Wang
Brooklyn Journal of Corporate, Financial & Commercial Law

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WHISTLEBLOWERS—A CASE STUDY IN THE REGULATORY CYCLE FOR FINANCIAL SERVICES, Ronald H. Filler, Jerry W. Markham
Brooklyn Journal of Corporate, Financial & Commercial Law

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Opacity, Fragility, & Power: Lessons from the Law Enforcement Response to the Financial Crisis, Gregory M. Gilchrist
Brooklyn Law Review

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Improvident Student Lending, Vijay Raghavan, Joseph Sanders
Faculty Scholarship

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Regulating the “Too Big to Jail” Financial Institutions, Jerry W. Markham
Brooklyn Law Review

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2017

PROMESA AND THE BANKRUPTCY CLAUSE: A REMINDER ABOUT UNIFORMITY, Stephen J. Lubben
Brooklyn Journal of Corporate, Financial & Commercial Law

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DECISION-MAKING AND THE SHAKY PROPERTY FOUNDATIONS OF MUNICIPAL BANKRUPTCY LAW, Juliet M. Moringiello
Brooklyn Journal of Corporate, Financial & Commercial Law

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SOVEREIGN DEBT RESTRUCTURING AND ENGLISH GOVERNING LAW, Steven L. Schwarcz
Brooklyn Journal of Corporate, Financial & Commercial Law

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Financing the Benefit Corporation, Steven A. Dean, Dana Brakman Reiser
Faculty Scholarship

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Challenging Nonbank SIFI Designations: GE, Metlife, and the Need for Reform, Drita Dokic
Brooklyn Journal of Corporate, Financial & Commercial Law

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Full Disclosure: Moving Beyond Disclosure Regulations to Affirmative Regulation of Executive Compensation, Christopher Saverino
Brooklyn Journal of Corporate, Financial & Commercial Law

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Putting the Substance Back into The Economic Substance Doctrine, Nicholas Giordano
Brooklyn Journal of Corporate, Financial & Commercial Law

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Accountability in Corporate Governance in China and The Impact of Guanxi as A Double-Edged Sword, Andrew Keay, Jingchen Zhao
Brooklyn Journal of Corporate, Financial & Commercial Law

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A Bridge too Far: A Critical Analysis of the Securities And Exchange Commission's Approach to Equity Market Regulation, John Polise
Brooklyn Journal of Corporate, Financial & Commercial Law

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From Systemic Risk to Financial Scandals: The Shortcomings of U.S. Hedge Fund Regulation, Marco Bodellini
Brooklyn Journal of Corporate, Financial & Commercial Law

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2016

Mandatory Third Party Compliance Examinations for Investment Advisers: An SEC Waterloo?, Mercer Bullard
Brooklyn Journal of Corporate, Financial & Commercial Law

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The Choice is (Not) Yours: Why the SEC Must Further Amend Its Rules of Practice to Increase Fairness in Administrative Proceedings, Madeline Ilibassi
Brooklyn Journal of Corporate, Financial & Commercial Law

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Compliance, Technology, and Modern Finance, Tom C.W. Lin
Brooklyn Journal of Corporate, Financial & Commercial Law

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Dashboard Compliance: Benefit, Threat, or Both?, James Fanto
Brooklyn Journal of Corporate, Financial & Commercial Law

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Preserving Human Agency in Automated Compliance, Onnig H. Dombalagian
Brooklyn Journal of Corporate, Financial & Commercial Law

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Underwriting Sustainable Homeownership: The Federal Housing Administration and the Law down Payment Loan, David Reiss
Faculty Scholarship

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A Cautionary Look at a Cautionary Doctrine, Andrew W. Fine
Brooklyn Journal of Corporate, Financial & Commercial Law

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Regulatory Incentive Realignment and the EU Legal Framework of Bank Resolution, Andromachi Georgosouli
Brooklyn Journal of Corporate, Financial & Commercial Law

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The Sixth Pillar of Anti-Money Laundering Compliance: Balancing Effective Enforcement with Financial Privacy, Maria A. de Dios
Brooklyn Journal of Corporate, Financial & Commercial Law

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The Challenge of Fiduciary Regulation: The Investment Advisors Act After Seventy-Five Years, Roberta S. Karmel
Brooklyn Journal of Corporate, Financial & Commercial Law

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The Customer's Nonwaivable Right to Choose Arbitration in the Securities Industry, Jill I. Gross
Brooklyn Journal of Corporate, Financial & Commercial Law

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Treating the New European Disease of Consumer Debt in a Post-Communist State: The Groundbreaking New Russian Personal Insolvency Law, Jason J. Kilborn
Brooklyn Journal of International Law

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2015

The Vanishing Supervisor, James A. Fanto
Faculty Scholarship

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The Logic and Limits of Liens, Edward Janger
Faculty Scholarship

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Liquidity, Systemic Risk, and the Bankruptcy Treatment of Financial Contracts, Rizwaan J. Mokal
Brooklyn Journal of Corporate, Financial & Commercial Law

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2014

Who Should Be Providing Mortgage Credit to American Households?, David J. Reiss
Faculty Scholarship

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An Overview of the Fannie and Freddie Conservatorship Litigation, David J. Reiss
Faculty Scholarship

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Surveillant and Counselor: A Reorientation in Compliance for Broker-Dealers, James A. Fanto
Faculty Scholarship

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REMIC Tax Enforcement as Financial-Market Regulator, Bradley T. Borden, David J. Reiss
Faculty Scholarship

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2013

Goliath Versus Goliath in High-Stakes MSB Litigation, Bradley T. Borden, David J. Reiss
Faculty Scholarship

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Show Me The Note!, William K. Akina, Bradley T. Borden, David J. Reiss
Faculty Scholarship

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Dirt Lawyers and Dirty REMICs: A Debate, David J. Reiss, Bradley T. Borden, Joshua Stein
Faculty Scholarship

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Dirty REMICs, Revisited, David J. Reiss, Bradley T. Borden
Faculty Scholarship

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The Emperor's New Loans: A Cautionary Tale from the Subprime Era, David J. Reiss
Faculty Scholarship

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Trouble with Regulating Microfinance, Anita Bernstein
Faculty Scholarship

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2012

Message in Mortgage: What Dodd-Frank's 'Qualified Mortgage' Tells Us About Ourselves, David Reiss
Faculty Scholarship

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Consumer Protection Out of the Shadows of Shadow Banking: The Role of the Consumer Financial Protection Bureau, David Reiss
Faculty Scholarship

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2011

Proving Racial Discrimination and Monitoring Fair Lending Compliance: The Missing Data Problem in Nonmortgage Credit, Winnie F. Taylor
Faculty Scholarship

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Is the Public Utility Holding Company Act a Model for Breaking up the Banks That are Too-Big-To-Fail, Roberta S. Karmel
Faculty Scholarship

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Restoring Transparency to Automated Authority, Frank Pasquale
Faculty Scholarship

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Reparations, Microfinance, and Gender: A Plan, with Strategies for Implementation, Anita Bernstein, Hans D. Siebel
Faculty Scholarship

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Is the Public Utility Holding Company Act a Model for Breaking Up the Banks that are Too-Big-To-Fail, Roberta S. Karmel
Faculty Scholarship

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2010

Consumer Credit and Competition: The Puzzle of Competitive Credit Markets, Edward J. Janger, Susan Block-Lieb
Faculty Scholarship

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Governing and Financing Blended Enterprise, Dana Brakman Reiser
Faculty Scholarship

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Breaking Up is Hard To Do: Should Financial Conglomerates be Dismantled?, James A. Fanto
Faculty Scholarship

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2009

Governing Corporate Compliance, Miriam H. Baer
Faculty Scholarship

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Demand-Side Gatekeepers in the Market for Home Loans, Edward J. Janger, Susan Block-Lieb
Faculty Scholarship

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The Future of the Securities and Exchange Commission as a Market Regulator, Roberta S. Karmel
Faculty Scholarship

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Anticipating the Unthinkable: The Adequacy of Risk Management in Finance and Environmental Studies, James A. Fanto
Faculty Scholarship

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2008

Regulation By Exemption: the Changing Definition of an Accredited Investor, Roberta S. Karmel
Faculty Scholarship

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2007

When Should Investor Reliance Be Presumed in Securities Class Actions, Roberta S. Karmel
Faculty Scholarship

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A Social Defense of Sarbanes-Oxley, James A. Fanto
Faculty Scholarship

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2006

Paternalistic Regulation of Public Company Management: Lessons from Bank Management, James A. Fanto
Faculty Scholarship

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2005

Mutual Funds, Pension Funds, Hedge Funds and Stock Market Volatility - What Regulation by the Securities and Exchange Commission Is Appropriate, Roberta S. Karmel
Faculty Scholarship

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Mutual Funds, Pension Funds, Hedge Funds and Stock Market Volatility: What Regulation by the Securities and Exchange Commission is Appropriate?, Roberta S. Karmel
Faculty Scholarship

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2004

The Securities and Exchange Commission Goes Abroad to Regulate Corporate Governance, Roberta S. Karmel
Faculty Scholarship

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1999

The Contribution of the Fund Profile to Investor Education, James A. Fanto
Faculty Scholarship

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1998

The Challenge to Financial Regulators Posed by Social Security Privatization, Roberta S. Karmel
Faculty Scholarship

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Creating Law at the Securities and Exchange Commission: The Lawyer as Prosecutor, Roberta S. Karmel
Faculty Scholarship

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1997

Towards a More Balanced Treatment of Bidder and Target Shareholders, Miriam Baer
Faculty Scholarship

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1995

The Transformation of French Corporate Governance and United States Institutional Investors, James Fanto
Faculty Scholarship

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1993

Implications of the Stakeholder Model, Roberta S. Karmel
Faculty Scholarship

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1991

Is It Time for a Federal Corporation Law, Roberta S. Karmel
Faculty Scholarship

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1990

The Duty of Directors to Non-Shareholder Constituencies in Control Transactions-a Comparison of U.S. and U.K. Law, Roberta S. Karmel
Faculty Scholarship

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1988

Securities Industry Self-Regulation-Tested by the Crash, Roberta S. Karmel
Faculty Scholarship

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1987

Qualitative Standards for Qualified Securities: SEC Regulation of Voting Rights, Roberta S. Karmel
Faculty Scholarship

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Blue-Sky Merit Regulation: Benefit to Investors or Burden on Commerce, Roberta S. Karmel
Faculty Scholarship

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1982

"Value" Judgments: Accounts Receivable Financing and Voidable Preference under the New Bankruptcy Code, Neil B. Cohen
Faculty Scholarship

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1981

A Delicate Assignment: The Regulation of Accountants by the SEC, Roberta S. Karmel
Faculty Scholarship

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1980

Glass-Steagall: Some Critical Reflections, Roberta S. Karmel
Faculty Scholarship

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1979

Ambivalent Reflections on Regulation, Roberta S. Karmel
Faculty Scholarship

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1970

The Investment Banker and the Credit Regulations, Roberta S. Karmel
Faculty Scholarship

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