Tamar Frankel

Professor of Law

Michaels Faculty Research Scholar

LLM and SJD, Harvard University
Diploma, Jerusalem Law Classes, Israel

Areas of Interest
Banking & Financial Instruments, Corporate, Business & Transactional Law, Securities
Contact
Biography

Professor Tamar Frankel writes and teaches in the areas of fiduciary law, corporate governance, mutual funds and the regulation of the financial system. She has published 10 books and more than 80 articles and book chapters. In 2013, the Institute for Fiduciary Standard established the annual Frankel Fiduciary Prize in her honor to award individuals who advance fiduciary principles. WealthManagerWeb has named her among the 50 Top Women in Wealth Management. In addition, she was noted as one of the most well-known 500 lawyers on Lawdragon, and as one of the Women Trailblazers in the Law by the ABA Commission project on Women in the Profession. In 1998, Professor Frankel was instrumental in establishing and designing the corporate structure of the Internet Corporation for Names and Numbers (ICANN).

A long-time member of the Boston University School of Law faculty, Professor Frankel was a visiting scholar at the Securities and Exchange Commission (1995–1997) and at the Brookings Institution (1987). She has taught and lectured at Oxford University, Tokyo University, Harvard Law School, and Harvard Business School. She consulted with the People’s Bank of China and lectured in Canada, India, Malaysia, and Switzerland. A native of Israel, Professor Frankel served as an attorney in the legal department of the Israeli Air Force, an assistant attorney general for Israel’s Ministry of Justice and the legal advisor of the State of Israel Bonds Organization in Europe. She has been in private practice in Israel, Boston, and Washington, DC and is a member of the Massachusetts Bar, the American Law Institute, and The American Bar Foundation.

Publications
  1. Tamar Frankel, "Fiduciary Duties in the Common Law and Civil Law Systems," Work in Progress (forthcoming).
  2. Tamar Frankel, "Bank's Culture Problem: You Can't Have Just One," v.123 American Banker Law and Regulation (Nov 17, 2016).
    Publisher
  3. Tamar Frankel, Fiduciary Law, New School (2016). [Mandarin edition translated by Lin Dingjun and Weng Zuli.]
  4. Tamar Frankel, "A Story of Three Bank-Regulatory Legal Systems: Contract, Financial Management Regulation and Fiduciary Law," 1 University of Bologna Law Review 91 (2016).
    Publisher
  5. Tamar Frankel, "Did Commissioner Gallagher Violate SEC Rules?" The Harvard Law School Forum on Corporate Governance and Financial Regulation (Jan 7, 2015).
    Publisher
  6. Tamar Frankel & Kenneth E. Burdon, Investment Management Regulation, 5th ed., Fathom Publishing Company (2015).
    Publisher
  7. Tamar Frankel & Arthur B. Laby, The Regulation of Money Managers: Mutual Funds and Advisors, 3d ed., Wolters Kluwer Law & Business (2015).
    Publisher
  8. Tamar Frankel, "Municipalities in Distress: A Preventive View," in Symposium Distressed Municipal Financing, 33 Review of Banking & Financial Law 779 (2014).
    Publisher
  9. Tamar Frankel, "Towards Universal Fiduciary Principles," 39 Queen's Law Journal 391 (2014).
  10. Tamar Frankel, "Why We Need to Restructure the Big Bank Holding Companies," americanbanker.com (Jul 10, 2014).
    Publisher
  11. Tamar Frankel, "Dismantling 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).
  12. Tamar Frankel, "Self-Regulation of Insider-Trading in Mutual Funds and Advisers," 8 Brooklyn Journal of Corporate, Financial and Commercial Law 80 (2013).
    HeinOnline (BU) | HeinOnline
  13. Tamar Frankel, "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).
    HeinOnline (BU) | HeinOnline
  14. Tamar Frankel, "The Influence of Investment Banks on Corporate Governance," in Research Handbook on the Economics of Corporate Law 352, Claire A. Hill & B. H. McDonnell, eds., Edward Elgar (2012).
  15. Tamar Frankel, The Ponzi Scheme Puzzle: A History and Analysis of Con Artists and Victims, Oxford University Press (2012).
    Publisher
  16. Tamar Frankel, "Rethinking the American Dream," femme-o-nomics.com (4/2012).
    Publisher
  17. Tamar Frankel, "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).
  18. Tamar Frankel, "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).
  19. Tamar Frankel, Investment Management Regulation, 4th ed., Fathom Publishing Co. (2011).
  20. Tamar Frankel & Mark Fagan, "Teaching Business Ethics: A Collaborative Approach," in Symposium , Transactional Education: What's Next? 12:Special Report Transactions: Tennessee Journal of Busness Law 49 (2011).
  21. Tamar Frankel, Fiduciary Law, Oxford University Press (2010). Also translated into Japanese.
    Publisher
  22. Tamar Frankel, "Let the Securities and Exchange Commission Outsource Enforcement by Litigation: A Proposal," 11 Journal of Business & Securities Law 111 (2010).
  23. Tamar Frankel, "Mutual Fund Advisor Fees and Executive Compensation," 7 International Journal of Disclosure and Governance 7 (2010).
  24. Tamar Frankel, "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).
    HeinOnline (BU) | HeinOnline
  25. Tamar Frankel, "Regulating the Financial Markets by Examination," in The Panic of 2008: Causes, Consequences and Implications for Reform 218, L. E. Mitchell & A. E. Wilmarth, eds., Edward Elgar (2010).
  26. Tamar Frankel, "The Breakdown of Legal Categories: Brokers, Dealers, Financial Planners and Advisors, Community Banker," Legal Briefs 48 (2009).
  27. Tamar Frankel & Mark Fagan, Law and the Financial System - Securitization and Asset Backed Securities: Law, Process, Case Studies and Simulations, Vandeplas Publishing Company (2009).
    Publisher
  28. Tamar Frankel, "The Story of Sub-Prime Mortgage Disaster," 14 Studi e Note di Economiia 325 (2009).
  29. Tamar Frankel & Mark Fagan, Trust and Honesty in the Real World: A Teaching Course in Law, Business, and Public Policy, 2d ed., Fathom Publishing Company (2009).
    Publisher
  30. Tamar Frankel, "Trust and the Internet," in ABA Guide to International Business Negotiations: A Comparison of Cross-Cultural Issues and Successful Approaches 7, 3d ed., James R. Silkenat, Jeffrey M. Aresty & Jacqueline Klosek, eds., American Bar Association (2009).
  31. Tamar Frankel, "Corporate Boards of Directors: Advisors or Supervisors," 77 University of Cincinnati Law Review 501 (2008).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  32. Tamar Frankel, Fiduciary Law : Analysis, Definitions, Relationships, Duties, Remedies over History and Cultures, Fathom Publishing Company (2008).
    Publisher
  33. Tamar Frankel, "How Should the Financial Markets be Regulated?" 12 Wall Street Lawyer __ (2008).
    BU
  34. Tamar Frankel, "Private Investment Funds: Hedge Funds' Regulation by Size," 39 Rutgers Law Journal 39 (2008).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  35. Tamar Frankel, "The Problems of Securitizing Sub-Prime Loans," 1 The Asian Business Lawyer 20 (2008).
    BU
  36. Tamar Frankel, "Rethinking the American Dream," lawdragon.com (2008).
    Publisher | BU
  37. Tamar Frankel, "Trust Honesty and Ethics in Business," no.31-32 Finance and the Common Good (2008).
  38. Tamar Frankel, "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).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  39. Tamar Frankel & Mark Fagan, Trust and Honesty in the Real World : A Joint Course for Lawyers, Business People, and Regulators, Fathom Publishing Company (2007).
    Publisher
  40. Tamar Frankel, 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).BU
  41. Tamar Frankel, "Are Advisers Contributing to Fund Rule Avalanche?" Ignite Magazine (2006).
    BU
  42. Tamar Frankel, "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).
  43. Tamar Frankel, "How Did We Get into This Mess?" 1 Journal of Business & Technology Law 133 (2006).
    Westlaw | HeinOnline (BU) | HeinOnline | BU
  44. Tamar Frankel & Lawrence A. Cunningham, "The Mysterious Ways of Mutual Funds: Market Timing," 25 Annual Review of Banking & Financial Law 235 (2006).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  45. Tamar Frankel, Securitization: Structured Financing, Financial Asset Pools, and Asset-Backed Securities, 2d ed., Fathom Publishing Company (2006). Translated into Chinese, China Law Press (2009).
    Publisher
  46. Tamar Frankel, "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). BU
  47. Tamar Frankel, "Using Sarbanes-Oxley Act to Reward Honest Corporations," 62 Business Lawyer 151 (2006).
    Westlaw | HeinOnline (BU) | HeinOnline
  48. Tamar Frankel, "What Default Rules Teach Us About Corporations; What Understanding Corporations Teaches Us About Default Rules," 33 Florida State University Law Review 698 (2006).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  49. Tamar Frankel & Clifford E. Kirsch, Investment Management Regulation, 3d edition, Fathom Publishing Company (2005).
    Publisher
  50. Tamar Frankel, "The Scope and Jurisprudence of the Investment Management Regulation," in Symposium on Hodge, 83 Washington University School of Law Review 939 (2005).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  51. Tamar Frankel, Trust and Honesty. America's Business Culture at a Crossroad, Oxford University Press (2005).
  52. Tamar Frankel & Joseph Anton, "Why the Board is Broken," Wall Street Lawyer 23 (2005).
    BU
  53. Tamar Frankel, review of 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). BU
  54. Tamar Frankel, 2004 Supplement to Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities, Aspen Law and Business (2004).
  55. Tamar Frankel, 2004 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act, Aspen Law and Business (2004).
  56. Tamar Frankel, "A Future Development: Selling the Advisory Business," Wall Street Lawyer (2004).
  57. Tamar Frankel, "Governing by Negotiation: The Internet Naming System," 12 Cardozo Journal of International and Comparative Law 449 (2004).
    Westlaw | Lexis Advance | BU
  58. Tamar Frankel, "The Seventh Circuit Decision in Wsol v. Fiduciary Management Associates and the Amendment to Rule 12b-1," 11 Investment Lawyer 8 (2004).
  59. Tamar Frankel, 2003 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act, Aspen Law & Business (2003).
  60. Tamar Frankel, "Advisory Fees: Evolving Theories," 10 The Investment Lawyer 21 (2003).
    BU
  61. Tamar Frankel & Clifford E. Kirsch, Investment Management Regulation, 2d ed., Fathom Publishing (2003).
  62. Tamar Frankel, Corporate Governance, report for the Markle Foundation, (2002).
  63. Tamar Frankel, Cumulative Supplement to Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities, Aspen Law & Business (2002).
  64. Tamar Frankel, "The Law of Cross-Border Securitization: Lex Juris," 12 Duke Journal of Comparative and International Law 475 (2002).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  65. Tamar Frankel, "The Managing Lawmaker in Cyberspace: A Power Model," 27 Brooklyn Law Review 859 (2002).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  66. Tamar Frankel, "Regulation and Investors' Trust in the Securities Markets," 68 Brooklyn Law Review 439 (2002).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  67. Tamar Frankel, "The Delaware Business Trust Act Failure as the New Corporate Law," 23 Cardozo Law Review 325 (2001).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  68. Tamar Frankel & Wendy J. Gordon, "Introduction," in Symposium on Trust Relationships, 81 Boston University Law Review 321 (2001).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  69. Tamar Frankel, "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).
    HeinOnline (BU) | HeinOnline | BU
  70. Tamar Frankel, "Of Theory and Practice," 77 Chicago-Kent Law Review 5 (2001).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  71. Tamar Frankel & Ann Taylor Schwing, The Regulation of Money Managers, Mutual Funds and Advisers, 2d ed., Aspen Law & Business (2001).
  72. Tamar Frankel, "Trusting and Non-Trusting on the Internet," 81 Boston University Law Review 457 (2001).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  73. Tamar Frankel, 2000 Supplement to Securitization: Structured Financing, Financial Asset Pools, and Asset-Backed Securities, Aspen Law & Business (2000).
  74. Tamar Frankel, 2000 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act, Aspen Law & Business (2000).
  75. Tamar Frankel, "Accountants' Independence; The Recent Dilemma," 2000 Columbia Business Law Review 261 (2000).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  76. Tamar Frankel, "The Different Design of Corporate Governance Under State Law and Federal Law and the Aftermath of the Strougo Case," 7 Investment Lawyer 3 (2000).
  77. Tamar Frankel, "Securitization (Asset-Backed Securities and Structured Financing)," in Financial Product Fundamentals Law Business Compliance 4-1, Clifford E. Kirsch, ed., Practising Law Institute (2000).
  78. Tamar Frankel & Joseph W. LaPlume, "Securitizing Insurance Risks," 19 Annual Review of Banking Law 203 (2000).
    Westlaw | HeinOnline (BU) | HeinOnline | BU
  79. Tamar Frankel, "The Internet, Securities Regulation, and Theory of Law," in Symposium on the Internet and Legal Theory, 73 Chicago-Kent Law Review 1319 (1999).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline
  80. Tamar Frankel, "Securitization: The Conflict Between Personal and Market Law (Contract and Property)," 18 Annual Review of Banking Law 197 (1999).
    Westlaw | HeinOnline (BU) | HeinOnline | BU
  81. Tamar Frankel, "Trends in the Regulation of Investment Companies and Investment Advisers," 1 Villanova Journal of Law and Investment Management 3 (1999).
    HeinOnline (BU) | HeinOnline | BU
  82. Tamar Frankel, 1998 Supplement to Securitization: Structured Financing, Financial Asset Pools, and Asset-Backed Securities, Little, Brown and Company (1998).
  83. Tamar Frankel, 1998 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1998).
  84. Tamar Frankel, "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).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  85. Tamar Frankel, "Fiduciary Duties," in The New Palgrave Dictionary of Economics and the Law, Peter Newman, ed., Macmillan Reference, 127 (1998).
    BU
  86. Tamar Frankel & Clifford E. Kirsch, Investment Management Regulation, Carolina Academic Press (1998).
  87. Tamar Frankel, "Issues Concerning Soft Dollars," in ALI-ABA Advanced Course on Pension Funds , ALI-ABA (1998).
  88. Tamar Frankel & Norio Higuchi, "Trust and Contract in the U.S. and Japan," 115 Hogaku Kyokai Zassi: Journal of the Jurisprudence Association 2 (1998).
  89. Tamar Frankel, "The 1996 Amendments of the Advisers Act, Proposed Implementing Rules," in ALI-ABA Advanced Course on Investment Advisors , ALI-ABA (1997).
  90. Tamar Frankel, "Knowledge Transfer: Consulting and Teaching in China," in Legislative Drafting for Market Reform: Some Lessons from China 182, Ann Seidman & Robert B. Seidman, eds., MacMillan (1997).
  91. Tamar Frankel, "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).
  92. Tamar Frankel, "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).
  93. Tamar Frankel, 1996 Supplement to Securitization: Structured Financing, Financial Asset Pools, and Asset-Backed Securities, Little, Brown and Company (1996).
  94. Tamar Frankel, 1996 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1996).
  95. Tamar Frankel, "Comments, Lessons From the Past: Revenge Yesterday and Today," 76 Boston University Law Review 89 (1996).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  96. Tamar Frankel, "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 (1996).
  97. Tamar Frankel, "Fiduciary Duties as Default Rules," 74 Oregon Law Review 1209 (1995).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  98. Tamar Frankel, "Foreword," in Symposium A Recipe for Effecting Institutional Changes to Achieve Privatization, 13 Boston University International Law Journal 295 (1995).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  99. Tamar Frankel, "Knowledge Transfer: Suggestions for Developing Countries on the Receiving End," 13 Boston University International Law Journal 141 (1995).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  100. Tamar Frankel, 1994 Supplement to Securitization: Structured Financing, Financial Asset Pools, and Asset-Backed Securities, Little, Brown and Company (1994).
  101. Tamar Frankel, 1994 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1994).
  102. Tamar Frankel, "Bank Powers to Sell Annuities," 49 Business Lawyer 1691 (1994).
    Westlaw | HeinOnline (BU) | HeinOnline | BU
  103. Tamar Frankel & Wendy J. Gordon, "Enforcing Coasian Bribes for Non-Price Benefits: A New Role for Restitution," 67 Southern California Law Review 1519 (1994). Reprinted in Restitution 347, Lionel D. Smith, ed., Ashgate Publishing (2001).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  104. Tamar Frankel, "Presumptions and Burdens of Proof as Tools for Legal Stability and Change," 17 Harvard Journal of Law and Public Policy 759 (1994).
    Westlaw | HeinOnline (BU) | HeinOnline | BU
  105. Tamar Frankel, "The Pros and Cons of a Self-Regulatory Organization for Advisers and Mutual Funds," 1 The Investment Lawyer 6 (1994).
    BU
  106. Tamar Frankel, "Fiduciary Law: The Judicial Process and the Duty of Care," paper presented at the 1993 Isaac Pitblado Lectures University of Manitoba Law School (1993).BU
  107. Tamar Frankel, "Fiduciary Law in the United States," paper presented at the Second International Symposium on Trusts, Equity and Fiduciaries, Victoria, British Columbia, Canada (1993).BU
  108. Tamar Frankel, 1993 Supplement to Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities, Little, Brown and Company (1993).
  109. Tamar Frankel, J. Deland & J. Mazer, 1993 Supplement to The Regulation of Money Managers : The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1993).
  110. Tamar Frankel, "The Legal Infrastructure of Markets: The Role of Contract and Property Law," 73 Boston University Law Review 389 (1993).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  111. Tamar Frankel, "Securitization: Its Effect on Bank Structure," in Structural Changes in Banking , M. Klausner & L. White, eds., Irwin Professional Publishing (1993).
  112. Tamar Frankel & Manuel A. Utset, 1992 Supplement to Securitization: Structured Financing, Financial Assets Pools, and Asset-backed Securities, Little, Brown and Company (1992).
  113. Tamar Frankel, J. Deland & J. Mazer, 1992 Supplement to The Regulation of Money Managers : The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1992).
  114. Tamar Frankel, J. Deland & J. Mazer, 1991 Supplement to The Regulation of Money Managers : The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1991).
  115. Tamar Frankel, Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities, Little, Brown and Company (1991).
  116. Tamar Frankel, J. Deland & J. Mazer, 1990 Supplement to The Regulation of Money Managers : The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1990).
  117. Tamar Frankel, "The Investment Company Act as a Defense Strategy in Takeovers," 1 Journal of Mergers and Acquisitions Analysis 103 (1990).
  118. Tamar Frankel, J. Deland & J. Mazer, 1989 Supplement to The Regulation of Money Managers : The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1989).
  119. Tamar Frankel, "What Can Be Done About Stock Market Volatility?" 69 Boston University Law Review 991 (1989).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  120. Tamar Frankel, J. Deland & J. Mazer, 1988 Supplement to The Regulation of Money Managers : The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1988).
  121. Tamar Frankel, review of 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). BU
  122. Tamar Frankel, J. Deland & J. Mazer, 1987 Supplement to The Regulation of Money Managers : The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1987).
  123. Tamar Frankel, "The Dual State - Federal Regulation of Financial Institutions - A Policy Proposal," 53 Brooklyn Law Review 53 (1987).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  124. Tamar Frankel & Frances Miller, "The Inapplicability of Market Theory to Adoptions," 67 Boston University Law Review 99 (1987).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  125. Tamar Frankel, "Introduction," in Symposium The Internationalization of the Securities Markets, 4 Boston University International Law Journal 1 (1986).
    HeinOnline (BU) | HeinOnline
  126. Tamar Frankel, J. Deland & J. Mazer, 1985 Supplement to The Regulation of Money Managers : The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1985).
  127. Tamar Frankel, 1984 Supplement to The Regulation of Money Managers : The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1984).
  128. Tamar Frankel, "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]
    Westlaw
  129. Tamar Frankel, "The Business Judgment Rule," in Symposium Current Issues in Corporate Governance, 45 Ohio State Law Journal 629 (1984). [panel member]
    Westlaw
  130. Tamar Frankel, "Corporate Directors Duty of Care: The American Law Institute Project on Corporate Governance," 52 George Washington Law Review 801 (1984).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  131. Tamar Frankel, "Decision Making for Social Investing," in Social Investing 131, Dan McGill, ed., University of Pennsylvania Press (1984).
  132. Tamar Frankel, "Fiduciary Law," 71 California Law Review 795 (1983).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  133. Tamar Frankel & Wayne M. Barsky, "The Power Struggle Between Shareholders and Directors: The Demand Requirement in Derivative Suits," 12 Hofstra Law Review 39 (1983).
    Westlaw | Lexis Advance | HeinOnline (BU) | HeinOnline | BU
  134. Tamar Frankel, "Implied Rights of Action," 67 Virginia Law Review 553 (1981).
    Westlaw | HeinOnline (BU) | HeinOnline | BU
  135. Tamar Frankel, "Investment Company Advertising," 14 Review of Securities Regulation 957 (1981).
    BU
  136. Tamar Frankel, "Money Market Funds," 14 Review of Securities Regulation 913 (1981).
  137. Tamar Frankel, "Insider Transactions Under the 1940 Act," 11 Review of Securities Regulation 827 (1978).
    BU
  138. Tamar Frankel, The Regulation of Money Managers : The Investment Company Act and the Investment Advisers Act, Little, Brown and Company (1978).
  139. Tamar Frankel, "Distribution of Mutual Fund Shares," 10 Review of Securities Regulation 860 (1977).
  140. Tamar Frankel, "Variable Life Insurance," 4 Securities Regulation Law Journal 156 (1976).
    BU
  141. Tamar Frankel, "Regulation of Variable Life Insurance," 48 Notre Dame Lawyer 1017 (1973).
    HeinOnline (BU) | HeinOnline
  142. Tamar Frankel, "Variable Annuities, Variable Insurance and Separate Accounts," 51 Boston University Law Review 173 (1971).
    HeinOnline (BU) | HeinOnline | BU
  143. Tamar Frankel, "The Governor's Private Eyes," 49 Boston University Law Review 627 (1969).
    HeinOnline (BU) | HeinOnline | BU
  144. Tamar Frankel, "The Maloney Act Experiment," 6 Boston College Industrial and Commercial Law Review 187 (1967).
    BU
Courses

3 credits

This seminar deals with compliance mechanisms within large financial organizations. Compliance includes observing the law and following internal rules within the institution. The purpose of the class is to offer a fundamental preparation to the lawyer in a large financial institution's Legal Department or a separate Compliance Department. This seminar covers the following: * The history of compliance within United States and global financial services companies; * The interaction between business processes and compliance processes; and, in some respects, the law and its enforcement within organizations; * The profession of compliance: The roles of the Chief Ethics & Compliance Officer, The Auditor; the Legal Officer and the interaction among them * Defining best practice, business process, risk assessment and controls and their interactions within the global financial service company; * A broad outline of regulations applicable to global financial services companies; the respective roles of corporate governance functions, such as: finance, internal audit, independent auditors, legal, compliance, and ethics departments, and risk management, and international issues. * Asset management: an overview of the regulation of broker dealers, insurance, and banking. * Interacting with regulators, and investigations * Business ethics and culture in large organizations. The reading materials for the seminar are prepared by Professor Lee D. Augsburger (Chief Compliance Officer of Prudential Insurance Company) and Professor Tamar Frankel. ** A student who fails to attend the initial meeting of a seminar, or to obtain permission to be absent from either the instructor or the Registrar, will be administratively dropped from the seminar. Students who waitlist for a seminar are required to attend the first seminar meeting to be considered for enrollment.

SPRG 2017: LAW JD 769 A1 , Jan 18th to Apr 26th 2017
Days Start End Credits Instructors Bldg Room
Mon,Wed 2:10 pm 3:35 pm 3 Tamar Frankel LAW 204
FALL 2017: LAW JD 769 A1 , Sep 5th to Dec 5th 2017
Days Start End Credits Instructors Bldg Room
Tue 8:30 am 10:30 am 3 Tamar Frankel LAW 203

3 credits

Investment companies have become an important part of the financial system. This course is designed to familiarize students with the special laws governing investment companies: their creation, structure, corporate governance, operations (including the distribution of shares and the management of the portfolios), dissolution and, time permitting, taxation. In particular, the course will focus on the Investment Company Act of 1940 and on the practice in this area before the Securities and Exchange Commission.

SPRG 2017: LAW JD 852 A1 , Jan 18th to Apr 26th 2017
Days Start End Credits Instructors Bldg Room
Mon,Wed 11:00 am 12:25 pm 3 Tamar Frankel LAW 203
FALL 2017: LAW JD 852 A1 , Sep 6th to Dec 6th 2017
Days Start End Credits Instructors Bldg Room
Mon,Wed 11:00 am 12:25 pm 3 Tamar Frankel LAW 204
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