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January 19, 2017 Eight US Regulatory Predictions for 2017

Financial Times, January 13, 2017

November 11, 2016 FINRA's Approval Requirement: Considerations for Non-US Acquirers of US Broker-Dealers

International Finanancial Law Review, November 2016

September 16, 2016 Security-Based Swap Dealers: Preparing for Trade Reporting

Compliance Reporter, Issue 19, September 19, 2016

July 28, 2016 TCH Releases White Paper on the Custody Services Provided by Banks
July 15, 2016 Financial Regulation: Law and Policy
Foundation Press, June 2016
June 6, 2016 Security-Based Swap Dealers: Tackling the Business Conduct Rules
Compliance Reporter, Issue 11, May 30, 2016
April 18, 2016 Security-Based Swap Dealers: Gearing Up for Registration, Vol. XXIII, No. 8, April 18, 2016
March 24, 2016 Preparing for U.S. Uncleared Swap Margin Rules, Vol. XXIII, No. 6, March 21, 2016
January 22, 2016 Is B/D Desk Commentary Dead?
Compliance Reporter
January 20, 2016 Nation Building and Banks: The Importance of Financial Institutions
Maine Law Review, 2008
January 20, 2016 Too Big to Fail: Do We Need Special Rules for Bank Resolutions?
Institute for Law and Finance, Frankfurt, Germany, 2012
January 20, 2016 Foreign Bank Acquisitions of U.S. Banks and Thrifts (Chapter 6, Co-Author)
Regulation of Foreign Banks and Affiliates in the United States (6th ed., 2011)
January 8, 2016 Regulatory Predictions for 2016
FT Trading Room
December 9, 2015 Adding Insult to Injury: Regulatory Enforcement Following Broker-Dealer Operational Failures
Securities Markets
Insights, The Corporate & Securities Law Advisor, Vol. 29, No. 11, November 2015
November 6, 2015 CFTC’s Clearinghouse Exemptive Regime
International Financial Law Review
November 3, 2015 The Perils of a Middle Road to Regulating Systemic Risk: The Volcker Rule’s Risk Backstop Provisions
The Georgetown Law Journal
November 2, 2015 Regulating Finance: Dodd-Frank Decoded
Interview | Talks on Law
August 17, 2015 Foreign Bank Cross-Border Trading under the Volcker Rule: the “Trading Outside the United States” Exemption’s Incongruous Consequences
Columbia Law School’s Blue Sky Blog
June 12, 2015 How to Implement Payments to Unregistered Persons Rule, Vol. XXII, No. 10, May 18, 2015
June 12, 2015 Volcker Prop Trading Provisions: How Firms Are Preparing, Vol. XXII, No. 12, June 15, 2015
June 9, 2015 Post-Resolution-Weekend Process: Reorganization and Re-Launch of the Post-Resolution Firm, Timing, Valuation, Treatment of Creditors, Liquidity Support
Cross-Border Resolution Colloquium
March 24, 2015 Implications of the SEC’s Plans to Amend Rule 15b9-1
Traders Magazine
January 20, 2015 Impacts and Implications of the CFTC’s Emerging Clearinghouse Exemptive Program
Traders Magazine
January 5, 2015 Regulatory Predictions for 2015
Financial Times
November 6, 2014 Framing the Too Big To Fail Problem: The Path to a Solution
Across the Great Divide: New Perspectives on the Financial Crisis, Chapter 13
Martin Neil Baily & John B. Taylor, eds., Hoover Institution & Brookings Institution, 2014
September 29, 2014 The Marketplace Awaits Regulation SCI
Traders Magazine
September 15, 2014 Weak Consumer Exams Are Holding Up M&A Deals
Bank Director, September 15, 2014
July 2, 2014 Key Questions Raised by the CFTC’s Plans for Non-US CCPs
A version of this article was first published in Risk Magazine on June 24, 2014.
April 8, 2014 Clearinghouse Regulatory Basics for Swap Market Participants
Global Capital
March 25, 2014 COMMENTARY: Why the Market Should Care About Proposed Clearing Agency Requirements
Traders Magazine
March 24, 2014 Targeted Returns Under FINRA's Communication Rules
New York Law Journal
January 27, 2014 How to Design a Volcker Rule Trading Compliance Program
Compliance Reporter, Vol. XXI, No. 2
January 3, 2014 Comment: Regulatory Predictions for 2014
December 31, 2013 SEC Proposes Rules for Crowdfunding Intermediaries
Financial Fraud Law Report
December 18, 2013 Investment Banks Face Challenges Under New Municipal Advisor Rules
Regulatory Reform, New York Law Journal (December 16, 2013)
October 22, 2013 The Cross-border Impact of the Dodd-Frank Act
May 14, 2013 Too Big to Fail: The Path to a Solution
A Report of the Failure Resolution Task Force of the Financial Regulatory Reform Initiative of the Bipartisan Policy Center
March 1, 2013 Swap Reporting: Who and When?
Futures Industry
January 14, 2013 U.S. Basel III Proposals: Infographic
January 3, 2013 Comment: 13 Regulatory Reform Predictions for ’13
December 23, 2011 Comment: 12 Regulatory Reform Predictions for '12
Financial Times
August 1, 2011 Transparency and Confidentiality in the Post Financial Crisis World -- Where to Strike the Balance?
Harvard Business Law Review, Vol. 1
January 3, 2011 An Overview of Clearance and Settlement of Securities Transactions
Compliance Corner
Investment Adviser Association, No. 217, p. 12
October 13, 2010 The Report on the Financial Panic of 2008 and Financial Regulatory Reform
Task Force on the Financial Crisis of the International Bar Association
October 1, 2010 Enhancing Financial Stability and Resilience: Macroprudential Policy, Tools and Systems for the Future
Group of Thirty
September 1, 2010 L'arret Morrison reaffirme la presomption de non-extraterritorialite du droit boursier american
JOLY editions
August 30, 2010 Board Diversity and Director Qualifications
Director Notes: The 2010 Proxy Season
The Conference Board
July 1, 2010 The Flash Crash Aftermath: Responses to the Trading Events of May 6, 2010
Securities Market
Insights, Vol. 24, No. 7, July 2010
April 1, 2010 The SEC's New Short Sale Rule: Implications and Ambiguities
Securities Market
Insights, Vol. 24, No. 4, April 2010
March 1, 2010 Consolidation and Competition in the US Equity Markets
Capital Markets Law Journal 2010, Vol. 5, No. 2