• Articles:

    Advising Compliance in Financial Firms: A New Mission for the Legal Academy
    James A. Fanto

    Punishing Bad Brokers: Self-Regulation and FINRA Sanctions
    Barbara Black

    The Crucial but (Potentially) Precarious Position of the Chief Compliance Officer
    Deborah A. DeMott

    Self-Regulation of Insider-Trading in Mutual Funds and Advisers
    Tamar Frankel

    Custodial Requirements for Customer Funds
    Jerry W. Markham

     

  • Notes:

    The JOBS Act: Investor Protection, Capital Formation, and Employment in an Increasingly Political Economy
    John P. Fargnoli

    Blackout or Blackmail? How Garber v. MLB Will Shed Light on Major League Baseball’s Broadcasting Cartel
    Nathan M. Hennagin

    Mortgage Takings and Municipal Finance: A Solution for Preserving Home Ownership
    Jourdain B. Poupore

    #ihatemyboss: Rethinking the NLRB’s Approach to Social Media Policies
    Lauren R. Younkins

     

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