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Forthcoming
Abuse of Trust (Con Artists and Ponzi Schemes) , Oxford University Press (forthcoming).
“Governing by Negotiation. The Internet Naming System,” Cardozo Journal of International and Comparative Law (forthcoming).
"Advisory Fees: Evolving Theories," 10 The Investment Lawyer 21 (2003).
Investment Management Regulation (with Clifford E. Kirsch), 2d ed., Fathom Publishing Co. (2003).
The Regulation of Money Managers: 2003 Supplement , New York: Aspen Law & Business, (2003).
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).
"The Managing Lawmaker in Cyberspace: A Power Model," 27 Brooklyn Law Review 859 (2002).
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).
"Securitization (Asset-Backed Securities and Structured Financing)," Chapter 4 in Financial Product Fundamentals Law Business Compliance, Clifford E. Kirsch, ed. (2000).
Securitization: Supplement 2000 , New York: Aspen Law & Business (2000).
"Securitizing Insurance Risks," (with Joseph W. LaPlume), 19 Annual Review of Banking Law 203 (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.
"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.
"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
"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). Durham, N.C.: 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 & 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
"Fiduciary Duties as Default Rules," 74 Oregon Law Review 1209.
1994
"Bank Powers to Sell Annuities," 49 Business Lawyer 1691.
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.
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 Regulation of Money Managers: 1993 Supplement , (with J. Deland and J. Mazer), Boston: Little, Brown and Company.
1992
Panel Member, Annual New England Securities Conference.
Securitization: 1992 Supplement , (with M. Utset), Boston: Little, Brown and Company.
The Regulation of Money Managers: 1992 Supplement , (with J. Deland and J. Mazer), Boston: 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), Boston: Little, Brown and Company.
1990
"The Investment Company Act as a Defense Strategy in Takeovers," 1 Journal of Mergers & Acquisitions Analysis 103.
The Regulation of Money Managers: 1990 Supplement , (with J. Deland and J. Mazer), Boston: Little, Brown and Company.
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), Boston: Little, Brown and Company.
1987
"The Dual State-Federal Regulation of Financial Institutions - A policy proposal," 53 Brooklyn Law Review 53.
The Regulation of Money Managers: 1987 Supplement , (with J. Deland and J. Mazer), Boston: Little, Brown and Company.
1985
The Regulation of Money Managers: 1985 Supplement , (with J. Deland and J. Mazer), Boston: 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.
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).
"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.
Click here for Index of article list above
"The Governor's Private Eyes," 49 Boston University Law Review 627.
1967
"The Maloney Act Experiment," 6 Boston College Industrial & Commercial Law Review 187.