Tamar Frankel

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Publications

Goto earliest | 1980s | 1990s | 2000s

Forthcoming

"Fiduciary Duties in the Common Law and Civil Law Systems," Work in Progress  (forthcoming). 

2014

"Municipalities in Distress: A Preventive View," in Symposium, Distressed Municipal Financing, 33 Review of Banking & Financial Law 779 (2014). 

"Towards Universal Fiduciary Principles," 39 Queen's Law Journal 391 (2014). 

"Why We Need to Restructure the Big Bank Holding Companies," americanbanker.com  (Jul 10, 2014). 

2013

"Dismantiling Large Bank Holding Companies for Their Own Good and for the Good of the Country," 32 no.7 Banking & Financial Services Policy Report 12 (July 2013). 

"Self-Regulation of Insider-Trading in Mutual Funds and Advisers," 8 Brooklyn Journal of Corporate, Financial and Commercial Law 80 (2013). 
Full text: Hein (BU)  Hein  

2012

"The Failure of Investor Protection by Disclosure," in Symposium, The Twenty-Fifth Annual Corporate Law Symposium: Implementing Dodd-Frank Wall Street Reform and Consumer Protection Act, 81 University of Cincinnati Law Review 421 (2012-13). 
Full text: Hein (BU)  Hein  

"The Influence of Investment Banks on Corporate Governance," in Research Handbook on the Economics of Corporate Law 352, C. A. Hill & B. H. McDonnell, eds., Edward Elgar (2012). 

The Ponzi Scheme Puzzle: A History and Analysis of Con Artists and Victims, Oxford University Press (2012). 

"Rethinking the American Dream," femme-o-nomics.com  (4/2012). 

"Securitization (Asset-Backed Securities and Structured Financing)," in Financial Product Fundamentals Law Business Compliance 4-1, 2d ed., Clifford E. Kirsch, ed., Practising Law Institute (2012). 

2011

"Fiduciary Law in the Twenty-First Century," in Symposium , The Role of Fiduciary Law and Trust in the Twenty-First Century: A Conference Inspired by the Work of Tamar Frankel, 91 Boston University Law Review 1289 (2011). 

Investment Management Regulation, 4th ed., Fathom Publishing Co. (2011). 

"Teaching Business Ethics: A Collaborative Approach," with Mark Fagan, in Symposium , Transactional Education: What's Next?, 12:Special Report Transactions: Tennessee Journal of Busness Law 49 (2011). 

2010

Fiduciary Law, Oxford University Press (2010). 

"Let the Securities and Exchange Commission Outsource Enforcement by Litigation: A Proposal," 11 Journal of Business & Securities Law 111 (2010). 

"Mutual Fund Advisor Fees and Executive Compensation," 7 International Journal of Disclosure and Governance 7 (2010). 

"The New Financial Assets: Separating Ownership from Control," in Symposium In Berle's Footsteps - A Symposium Celebrating the Launch of the Adolf A. Berle, Jr. Center on Corporations, Law & Society, 33 Seattle University Law Review 931 (2009-10). 
Full text: Hein (BU)  Hein  

"Regulating the Financial Markets by Examination," in The Panic of 2008: Causes, Consequences and Implications for Reform 218, L. E. Mitchell & A. E. Wilmarth, Edward Elgar (2010). 

2009

"The Breakdown of Legal Categories: Brokers, Dealers, Financial Planners and Advisors, Community Banker," Legal Briefs 48 (2009). 

Law and the Financial System - Securitization and Asset Backed Securities: Law, Process, Case Studies and Simulations, with Mark Fagan, Vandeplas Publishing Company (2009). 

"The Story of Sub-Prime Mortgage Disaster," 14 Studi e Note di Economiia 325 (2009). 

Trust and Honesty in the Real World: A Teaching Course in Law, Business, and Public Policy, with Mark Fagan, 2d ed., Fathom Publishing Company (2009). 

"Trust and the Internet," in ABA Guide to International Business Negotiations: A Comparison of Cross-Cultural Issues and Successful Approaches 7, 3d ed., J. R. Skilkenat, J. M. Aresty & J. Klosed, eds., American Bar Association (2009). 

2008

"Corporate Boards of Directors: Advisors or Supervisors," 77 University of Cincinnati Law Review 501 (2008). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

Fiduciary Law : Analysis, Definitions, Relationships, Duties, Remedies over History and CulturesFathom Publishing Company (2008). 

"How Should the Financial Markets be Regulated?" 12 Wall Street Lawyer  (2008). PDF  

"Private Investment Funds: Hedge Funds' Regulation by Size," 39 Rutgers Law Journal 39 (2008). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

"The Problems of Securitizing Sub-Prime Loans," 1 The Asian Business Lawyer 20 (2008). PDF  

"Rethinking the American Dream," lawdragon.com  (2008). PDF  

"Trust Honesty and Ethics in Business," no.31-32 Finance and the Common Good  (2008). 

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). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

Trust and Honesty in the Real World, with Mark Fagan, Fathom Publishing Company (2007). 

2006

"Are Advisers Contributing to Fund Rule Avalanche?" Ignite Magazine  (2006). PDF  

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 (2006). PDF  

"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). 
Full text: PDF  Hein (BU)  Hein  Westlaw  

"The Mysterious Ways of Mutual Funds: Market Timing," with Lawrence A. Cunningham, 25 Annual Review of Banking & Financial Law 235 (2006). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

Securitization: Structured Financing, Financial Asset Pools, and Asset-Backed Securities, 2d ed., Fathom Publishing Company (2006). Translated into Chinese, China Law Press (2009). 

"United States Mutual Fund Investors, Their Managers and Distributors," in Conflicts of Interest: Corporate Governance and Financial Markets 363, L. Thevenz & R. Bashar, eds., Kluwer (2006). 
Full text: PDF  

"Using Sarbanes-Oxley Act to Reward Honest Corporations," 62 Business Lawyer 151 (2006). 
Full text: Hein (BU)  Hein  Westlaw  

"What Default Rules Teach Us About Corporations; What Understanding Corporations Teaches Us About Default Rules," 33 Florida State University Law Review 698 (2006). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

2005

Investment Management Regulation, with Clifford E. Kirsch, 3d edition, Fathom Publishing Company (2005). 

"The Scope and Jurisprudence of the Investment Management Regulation," in Symposium on Hodge, 83 Washington University School of Law Review 939 (2005). PDF  
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

Trust and Honesty. America's Business Culture at a CrossroadOxford University Press (2005). 

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

Book Review, David L. Smith, Why We Lie: The Evolutionary Roots of Deception and the Unconscious Mind, St. Martin's Press, 5 Human Nature Review 45 (2005). PDF  

2004

"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). 
Full text: PDF  Lexis  Westlaw  

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

Securitization: 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 8 (2004). 

2003

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

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

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

2002

Corporate Governance, report for the Markle Foundation (2002).  

"The Law of Cross-Border Securitization: Lex Juris," 12 Duke Journal of Comparative and International Law 475 (2002). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

"The Managing Lawmaker in Cyberspace: A Power Model," 27 Brooklyn Law Review 859 (2002). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

"Regulation and Investors' Trust in the Securities Markets," 68 Brooklyn Law Review 439 (2002). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

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). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

"Introduction," with Wendy Gordon, in Symposium on Trust Relationships, 81 Boston University Law Review 321 (2001). PDF  
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

"Non-Compete Obligations of Departing Star Partners and the Right of Clients to Their Continued Services," 2:2 Villanova Journal of Law and Investment Management 6 (2001). PDF  
Full text: Hein (BU)  Hein  

"Of Theory and Practice," 77 Chicago-Kent Law Review 5 (2001). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

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). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

2000

"Accountants' Independence; The Recent Dilemma," 2000 Columbia Business Law Review 261 (2000). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

"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, Aspen Law & Business (2000). 

"Securitization (Asset-Backed Securities and Structured Financing)," in Financial Product Fundamentals Law Business Compliance 4-1, Clifford E. Kirsch, ed., Practising Law Institute (2000). 

Securitization: 2000 Supplement, Aspen Law & Business (2000). 

"Securitizing Insurance Risks," with Joseph W. LaPlume, 19 Annual Review of Banking Law 203 (2000). 
Full text: PDF  Hein (BU)  Hein  Westlaw  

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1999

"The Internet, Securities Regulation, and Theory of Law," in Symposium on the Internet and Legal Theory, 73 Chicago-Kent Law Review 1319 (1999). 
Full text: Hein (BU)  Hein  Lexis  Westlaw  

"Securitization: The Conflict Between Personal and Market Law (Contract and Property)," 18 Annual Review of Banking Law 197 (1999). 
Full text: PDF  Hein (BU)  Hein  Westlaw  

"Trends in the Regulation of Investment Companies and Investment Advisers," 1 Villanova Journal of Law and Investment Management 3 (1999). PDF  
Full text: Hein (BU)  Hein  

1998

"Cross-Border Securitization: Without Law, But Not Lawless," 8 Duke Journal of Comparative and International Law 255 (1998). Reprinted in 31 Securities Law Review 651 (1999). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

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

Investment Management Regulation, with Clifford E. Kirsch, Carolina Academic Press (1998). 

"Issues Concerning Soft Dollars," in ALI-ABA Advanced Course on Pension Funds, ALI-ABA (1998). 

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

Securitization: 1998 Supplement, Little, Brown and Company (1998). 

"Trust and Contract in the U.S. and Japan," with Norio Higuchi, 115 Hogaku Kyokai Zassi: Journal of the Jurisprudence Association 2 (1998). 

1997

"The 1996 Amendments of the Advisers Act, Proposed Implementing Rules," in ALI-ABA Advanced Course on Investment Advisors, ALI-ABA (1997). 

"Knowledge Transfer: Consulting and Teaching in China," in Legislative Drafting for Market Reform: Some Lessons from China 182, A. Seidman & R. B. Seidman, eds., MacMillan (1997). 

"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, Clifford E. Kirsch, ed., McGraw-Hill (1997). 

"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 447, Clifford E. Kirsch, ed., McGraw-Hill (1997). 

1996

"Comments, Lessons From the Past: Revenge Yesterday and Today," 76 Boston University Law Review 89 (1996). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

The Regulation of Money Managers: 1996 Supplement, Little, Brown and Company (1996). 

"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, Clifford E. Kirsch, McGraw-Hill (1996). 

Securitization: 1996 Supplement, Little, Brown and Company (1996). 

1995

"Fiduciary Duties as Default Rules," 74 Oregon Law Review 1209 (1995). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

"Foreword," in Symposium, A Recipe for Effecting Institutional Changes to Achieve Privatization, 13 Boston University International Law Journal 295 (1995). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

"Knowledge Transfer: Suggestions for Developing Countries on the Receiving End," 13 Boston University International Law Journal 141 (1995). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

1994

"Bank Powers to Sell Annuities," 49 Business Lawyer 1691 (1994). 
Full text: PDF  Hein (BU)  Hein  Westlaw  

"Enforcing Coasian Bribes for Non-Price Benefits: A New Role for Restitution,"  with W. Gordon, 67 Southern California Law Review 1519 (1994). Reprinted in Restitution 347, Lionel D. Smith, ed., Ashgate Publishing (2001). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

"Presumptions and Burdens of Proof as Tools for Legal Stability and Change," 17 Harvard Journal of Law and Public Policy 759 (1994). 
Full text: PDF  Hein (BU)  Hein  Westlaw  

"The Pros and Cons of a Self-Regulatory Organization for Advisers and Mutual Funds," 1 The Investment Lawyer 6 (1994). PDF  

The Regulation of Money Managers: 1994 Supplement, Little, Brown and Company (1994). 

Securitization: 1994 Supplement, Little, Brown and Company (1994). 

1993

"Fiduciary Law in the United States," paper presented at the Second International Symposium on Trusts, Equity and Fiduciaries, Victoria, British Columbia, Canada (1993). 
Full text: PDF  

"Fiduciary Law: The Judicial Process and the Duty of Care," paper presented at the 1993 Isaac Pitblado Lectures University of Manitoba Law School (1993). PDF  

"The Legal Infrastructure of Markets: The Role of Contract and Property Law," 73 Boston University Law Review 389 (1993). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

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

Securitization: 1993 Supplement, Little, Brown and Company (1993). 

"Securitization: Its Effect on Bank Structure," in Structural Changes in Banking M. Klausner & L. White, eds., Irwin Professional Publishing (1993). 

1992

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

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

1991

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

Securitization, Little, Brown and Company (1991). 

1990

"The Investment Company Act as a Defense Strategy in Takeovers," 1 Journal of Mergers and Acquisitions Analysis 103 (1990). 

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

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1989

The Regulation of Money Managers: 1989 Supplement, with J. Deland and J. Mazer, Little, Brown and Company (1989). 

"What Can Be Done About Stock Market Volatility?" 69 Boston University Law Review 991 (1989). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

1988

Book Review, Ulrich Immenga, International Encyclopedia of Comparative Law v.13 (Company Systems and Affiliations) ch. 7 (Business and Private Organizations), J. C. B. Mohr (1985), 34 American Journal of Comparative Law 158 (1988). 
Full text: PDF  

The Regulation of Money Managers: 1988 Supplement, with J. Deland & J. Mazer, Little, Brown and Company (1988). 

1987

"The Dual State - Federal Regulation of Financial Institutions - A Policy Proposal," 53 Brooklyn Law Review 53 (1987). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

"The Inapplicability of Market Theory to Adoptions," with Frances Miller, 67 Boston University Law Review 99 (1987). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

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

1986

"Introduction," in Symposium The Internationalization of the Securities Markets, 4 Boston University International Law Journal 1 (1986). 
Full text: Hein (BU)  Hein  

1985

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

1984

"Bank Loan Participations Under the Securities Acts: The Implications of SIA v. Board of Governors," in Symposium, 16th Annual Institute of Securities Regulation  (1984). [Loan Participations and the Becker Case] 
Full text: Westlaw  

"The Business Judgment Rule," panel member, in Symposium, Current Issues in Corporate Governance, 45 Ohio State Law Journal 629 (1984). 
Full text: Westlaw  

"Corporate Directors Duty of Care: The American Law Institute Project on Corporate Governance," 52 George Washington Law Review 801 (1984). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

"Decision Making for Social Investing," in Social Investing 131, Dan McGill, ed., University of Pennsylvania Press (1984). 

The Regulation of Money Managers: 1984 Supplement, Little, Brown and Company (1984). 

1983

"Fiduciary Law," 71 California Law Review 795 (1983). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

"The Power Struggle Between Shareholders and Directors: The Demand Requirement in Derivative Suits," with Wayne M. Barsky, 12 Hofstra Law Review 39 (1983). 
Full text: PDF  Hein (BU)  Hein  Lexis  Westlaw  

1981

"Implied Rights of Action," 67 Virginia Law Review 553 (1981). 
Full text: PDF  Hein (BU)  Hein  Westlaw  

"Investment Company Advertising," 14 Review of Securities Regulation 957 (1981). PDF  

"Money Market Funds," 14 Review of Securities Regulation 913 (1981). 

1980

The Regulation of Money Managers, Little, Brown and Company (1980). 

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1978

"Insider Transactions Under the 1940 Act," 11 Review of Securities Regulation 827 (1978). PDF  

1977

"Distribution of Mutual Fund Shares," 10 Review of Securities Regulation 860 (1977). 

1976

"Variable Life Insurance," 4 Securities Regulation Law Journal 156 (1976). PDF  

1973

"Regulation of Variable Life Insurance," 48 Notre Dame Lawyer 1017 (1973). 
Full text: Hein (BU)  Hein  

1971

"Variable Annuities, Variable Insurance and Separate Accounts," 51 Boston University Law Review 177 (1971). PDF  
Full text: Hein (BU)  Hein  

1969

"The Governor's Private Eyes," 49 Boston University Law Review 627 (1969). 
Full text: PDF  Hein (BU)  Hein  

1967

"The Maloney Act Experiment," 6 Boston College Industrial and Commercial Law Review 187 (1967). PDF  

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