This
section of the site presents various academic papers related to the regulation
of financial institution. Several different types of papers are included:
- denotes WORKING PAPERS principally
written by legal academics.
- denotes STUDENT PAPERS, principally
written by J.D. and LL.M. students at Harvard Law School.
- denotes SURVEYS OF LITERATURE
commissioned for publication on this site.
Linked to each paper
is an abstract, which can be viewed over the internet, and a full copy
of the paper (in pdf format) which may be downloaded. Linked to some of
the working papers is a discussion area, where readers are invited to post
comments and suggestions regarding the papers and commentary thereon. To
download pdf files, users must have Adobe Acrobat Reader installed on their
computers. To obtain a free copy of this reader, click here.
DEPOSITORY
INSTITUTIONS
Nikolai Mikhailov, National Treatment under Siege -- Troubling Trends in
Federal Regualtion of Foreing Banks in the 1990s (Apr. 2000)
Full
paper (in pdf format)
Ken-ying Tseng, Government Control of Money in a Digital World (May 4,
1998).
Full
paper (in pdf format)
Jason L. Booth. Interstate Branching, the Riegle-Neal Amendments Act of
1997 and the Future of the Dual Banking System (Apr. 20, 1998)
Full
paper (in pdf format)
Howell E. Jackson, The Regulation of Financial Holding Companies (Sept.
26, 1997) (prepared for The New Palgrave for Law & Economics (1998)).
Abstract
| Full paper (in pdf format)
Peter Lyons Juhas, Into the Breach: Winstar Damages (May 2, 1997).
Full
paper (in pdf format)
Lori P. Morgan, An Assessment of Bank Agency Discretion Under FDICIA's
Prompt Corrective Action Provisions (Apr. 25, 1994)
Full
paper (in pdf format)
- see related internet
resources, press accounts, casebook
materials -
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INSURANCE
COMPANIES
Michael K. Renetsky, The NAIC Accreditation Program (Spring 1996).
Full
paper (in pdf format)
Alexander Tselos, Massachusetts Automobile Insurance Regulation (May 5,
1995)
Full
paper (in pdf format)
Karen H. Kim, Alternative Insurance in the United States and Bermuda and
the Threat to Traditional Insurance Regulatory Schemes (May 1, 1995).
Full
paper (in pdf format)
- see related internet
resources, press accounts, casebook
materials -
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SECURITIES
FIRMS
Amy K. Rhodes, The Role of the SEC in the Regulation of Rating Agencies:
Well-Placed Reliance or Free-Market Interference? (Apr. 25, 1995) (subsequently
published at 20 Seton Hall Legis. J. 293 (1996)).
Abstract |
Full paper (in pdf format)
- see related internet
resources, press accounts, casebook
materials -
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TRADING
MARKETS
John G. Moon, The Dangerous Territoriality of American Securities Law:
A Proposal for an Integrated Global Securities Market (June 2000)
Part
One (in pdf format); Part Two (in pdf
format)
Laura N. Beny, HLS '99, A Survey of Current Regulatory and Structural Issues
in U.S. Secondary Markets and a Reform Proposal (Spring 1999)
Abstract
| Full draft survey (in pdf format)
James E. Davis, Corporate Disclosure Through Stock Exchanges (Apr. 24,
1999).
Abstract
| Full paper (in pdf format)
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accounts -
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INVESTMENT
COMPANIES
Stephen Tate, The Role of Independent Directors in Mutual Fund Government
(Apr. 26, 2000)
Full
paper (in pdf format)
David J. Carter, Mutual Fund Boards and Shareholder Action (Apr. 21, 2000).
Full
paper (in pdf format)
Bevis Longstreth, The Profile: Designer Disclosure for Mutual Funds (Nov.
6, 1998).
Full
paper (in pdf format)
Kevin L. Hicks, Mutual Fund Fees (Apr. 10, 1998).
Full
paper (in pdf format)
Richard M. Cundiff, Jr., Statistical and Cognitive Barriers to Effective
Disclosure of Mutual Fund Risk
Full
paper (in pdf format)
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resources, press accounts,
casebook materials -
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INTER-INDUSTRY
COMPETITION
Howell E. Jackson, Regulation
in a Multi-Sectored Financial Services Industry:An Exploratory Essay, 77
Wash. U.L.Q. 319 (1999)
Abstract
| Full paper (in pdf format)
|
Joel Wattenbarger, CFTC Jurisdiction Over OTC Derivatives (May 7, 1999).
Abstract
| Full paper (in pdf format)
- see related press
accounts, casebook materials
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SOCIAL
SECURITY REFORM
Howell E. Jackson, Regulatory Problems in Privatizing Social Security
(Nov. 5, 1998) (published in slighted revised form as a chapter in Framing
the Social Security Debate: Values, Politics and Economics (1999) (Brookings
Institute)).
Abstract
| Full paper (in pdf format)
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resources, press accounts, casebook
materials -
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INTERNATIONAL
FINANCE
James Gillespie, Financial Services Liberalization in the World Trade Organization
(Apr. 29, 2000)
Full
paper (in pdf format)
Howell E. Jackson, The Selective Incorporation of Foreign Legal Systems
to Promote Nepal as an International Financial Services Center (Sept. 25,
1998) (published in slightly revised form in Regulation and Deregulation:
Policy and Practice in the Utilities and Financial Services Industry (1999)
(Christopher McCrudden, ed.) (Clarendon Press, Oxford).
Abstract
| Full paper (in pdf format)
| Discussion Area
- see related press
accounts, casebook materials
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