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.

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2016

Bank's Culture Problem: You Can't Have Just One: "American Banker-Law and Regulation Vol.1 No.223 2016 SourceMedia,Inc.

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

Did Commissioner Gallagher Violate SEC Rules: "The Harvard Law School Forum on Corporate Governance and Financial Regulation- posted on Wednesday January 7, 2015

2014

Municipalities in Distress: A Preventive View"Review of Banking & Financial Law,Vol.33 L.779 (2014)

Toward Universal Fiduciary Principles- Queen's Law Journal - Faculty of Law, Queen's University - Volume 39, No.2, Spring 2014

The above article 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-Fellowsip 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

The Failure of Investor Protection by Disclosure"University of Cincinnati Law review, Vol 81,No.2, Winter 2012

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 - Fall 2013, Volume 8, Number 1

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

2012

Chapter 19. The Influence of Investment Banks on Corporate Governance- by Tamar Frankel. "Research Handbook on the Economics of Corporate Law 2012-Published by Edward Elgar Publishing, Inc. - Edited by Claire E. Hill and Brett H. McDonnell.

Rethinking the American Dream"femme-o-nomics 04/2012

2011

Fiduciary Law in the Twenty-First Century"Boston University Law Review(BU School of Law) Vol 91 May 2011 Number 3

The Regulation of Brokers, Dealers, Advisors and Financial Planners"Review of Banking and Financial Law ( BU School of Law) Vol 30 2010-2011

Let the Securities and Exchange Commission Outsource Enforcement by Litigation:A Proposal"Journal of Business and Securities Law (Michigan State College of Law) Vol 11,Fall Issue 1

2010

Mutual fund advisers fees and executive compensation" Palgrave Macmillian-International Journal of Disclosure and 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. DOI: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, pagg. 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

Trust and the Internet" Chapter 1 in The ABA Guide to International Business Negotiations,J.Silkenat,J.Aresty,J.Klosek eds.(A comparison of Cross-Cultural Issues and Successful Approaches, 3rd 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 Law Journal 657 (2008)

How Should the Financial Markets be Regulated" The Wall Street Lawyer, October 2008, Vol 12 Issue 10.

Rethinking the American Dream" LAWDRAGON, http://www.lawdragon.com August, 2008

"The Problems of Securitizing Sub-Prime Loans" The Asian Business Lawyer,Vol 1 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 NYU Journal of Law & Business,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 and 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 Journal of Business & Technology Law 133 (2006).

"The Mysterious Ways of Mutual Funds: Market Timing," with Lawrence A. Cunningham, 25 Annual Review of Banking & Financial Law 235 (2006).

Securitization: Structured Financing, Financial Asset Pools, and Asset-Backed Securities, 2d edition, Fathom Publishing Company (2006).

"Using Sarbanes-Oxley Act to Reward Honest Corporations,"62 Business Lawyer 151 (2006).

"What Default Rules Teach Us About Corporations; What Understanding Corporations Teaches Us About Default Rules," 33 Florida State University Law Review 698 (2006)

Note: This article was also published in "Fiduciary Obligations-Legal Perspectives", Amicus Books, The 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 Unconcious Mind, 5 Human Nature Review 45 (2005).

"The Scope and Jurisprudence of the Investment Management Regulation," in Symposium on Hodge, 83 Washington University School of Law Review 939 (2005).

"Why the Board is Broken," with Joseph Anton, Wall Street Lawyer 23 (Feb. 2005)

2004

Future Developments, "A Future Development: Selling the Advisory Business," Wall Street Lawyer (2004).

"Governing by Negotiation: The Internet Naming System," 12 Cardozo Journal of International and Comparative Law 449 (2004).

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

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

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

2003

"Advisory Fees: Evolving Theories," 10 The Investment Lawyer 21 (2003).

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

The Regulation of Money Managers: 2003 Supplement, Aspen Law & Business (2003).

2002

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

"<The Law of Cross-Border Securitization: Lex Juris," 12 Duke Journal of Comparative and International Law 475 (2002).

"The Managing Lawmaker in Cyberspace: A Power Model," 27 Brooklyn Law Review 859 (2002).

"Regulation and Investors' Trust in the Securities Markets," 68 Brooklyn Law Review 439 (2002).

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 Law Review 325 (2001).

"Non-Compete Obligations of Departing Star Partners and the Right of Clients to their Continued Services,Villanova Journal of Law and Investment Management(2001).

"Introduction: Symposium on Trust Relationships," with Wendy Gordon, 81 Boston University Law Review 321 (2001).

"Of Theory and Practice," 77 Chicago-Kent Law Review 5 (2001).

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

"Trusting and Non-Trusting on the Internet," 81 Boston University Law Review 457 (2001).

2000

"Accountants' Independence; The Recent Dilemma," 2000 Columbia Business Law Review 261 (2000).

"The Different Design of Corporate Governance under State Law and Federal Law and the Aftermath of the Strougo Case," 7 Investment Lawyer 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 Annual Review of Banking Law 203 (2000).

1999

"Cross-Border Securitization: Without Law, But Not Lawless," 31 Securities Law Review 651.

"Securitization: The Conflict Between Personal and Market Law (Contract and Property)," 18 Annual Review of Banking Law 197.

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

"Trends in the Regulation of Investment Companies and Investment Advisers," 1 Villanova Journal of Law and Investment Management 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 Journal of Comparative and International Law 255.

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

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, D.C.

Securitization: 1998 Supplement, Boston: Little, Brown and Company.

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

"Trust and Contract in the U.S. and Japan" with Norio Higuchi, 115 Hogaku Kyokai Zassi: Journal of the Jurisprudence Association, 2.

1997

"Knowledge Transfer: Consulting and Teaching in China," in Legislative Drafting for Market Reform: Some Lessons from China. Ann Seidman and 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. Kirsche, 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, D.C.

1996

"Comments, Lessons From the Past: Revenge Yesterday and Today," 76 Boston University Law Review 89.

Securitization; 1996 Supplement, Boston: Little, Brown and 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 and Company.

1995

"Knowledge Transfer: Suggestions for Developing Countries on the Receiving End," 13 Boston University International Law Journal 141.

"Fiduciary Duties as Default Rules," 74 Oregon Law Review 1209.

"Symposium: A Recipe for Effecting Institutional Changes to achieve Privatization," 13 Boston University International Law Journal 295.

1994

"Bank Powers to Sell Annuities," 49 Business Lawyer 1691.

"Enforcing Coasian Bribes for Non-Price Benefits: A New Role for Restitution," with W. Gordon, 67 Southern California Law Review 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 Harvard Journal of Law and Public Policy 759.

Securitization; 1994 Supplement, Boston: Little, Brown and Company.

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

The Regulation of Money Managers: 1994 Supplement, Boston: Little, Brown and 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 and 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 Boston University Law Review 389.

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

1992

Panel Member, Annual New England Securities Conference.

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

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

1991

Securitization, Vols. I and II. Boston: Little, Brown and Company.

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

1990

"The Investment Company Act as a Defense Strategy in Takeovers," 1 Journal of Mergers and Acquisitions Analysis 103.

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

1989

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

"What Can Be Done About Stock Market Volatility?," 69 Boston University Law Review 991.

1988

Book Review, "International Cyclopedia of Comparative Law," 34 American Journal of Comparative Law 158.

The Regulation of Money Managers: 1988 Supplement, with J. Deland and J. Mazer, Little, Brown and 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 Boston University Law Review 99.

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

1985

"Corporate Directors Duty of Care: The American Law Institute Project on Corporate Governance," 52 George Washington Law Review 80l.

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

1984

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

"Loan Participations and the Becker case," 16th Annual Institute of Securities Regulation.

Panel Member, Symposium: "Current Issues in Corporate Governance," 45 Ohio State Law Journal 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 and Company.

1983

"Fiduciary Law," 71 California Law Review 795.

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

1981

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

"Implied Rights of Action," 67 Virginia Law Review 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 and 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 Boston University Law Review 173.

1969

"The Governor's Private Eyes," 49 Boston University Law Review 627.

1967

"The Maloney Act Experiment," 6 Boston College Industrial and Commercial Law Review 187.

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