Tamar Frankel

Tamar Frankel

Professor of Law Emerita

Michaels Faculty Research Scholar

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


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

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  • Tamar Frankel, Transnational Fiduciary Law 5 UC Irvine Journal of International, Transnational, and Comparative Law (2020)
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  • Tamar Frankel & Ann Taylor Schwing, Living in Different Cultures (2019)
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  • Tamar Frankel, The Law Officer (LO) and Compliance Officer (CO): Status, Function, Liabilities, and Relationship No. 18-25 Boston University School of Law, Law and Economics Research Paper (2018)
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  • Tamar Frankel, Institutional Self-Regulation (Compliance) (2018)
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  • Tamar Frankel & Arthur B. Laby, The Regulation of Money Managers: Mutual Funds and Advisors, 3rd ed. (2016)
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  • Tamar Frankel, A Story of Three Bank-Regulatory Legal Systems: Contract, Financial Management Regulation, and Fiduciary Law 1 University of Bologna Law Review (2016)
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  • Tamar Frankel & Kenneth E. Burdon, Investment Management Regulation, 5th ed. (2015)
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  • Tamar Frankel, Towards Universal Fiduciary Principles 39 Queen's Law Journal (2014)
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  • Tamar Frankel, Self-Regulation of Insider-Trading in Mutual Funds and Advisers 8 Brooklyn Journal of Corporate, Financial and Commercial Law (2013)
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  • Tamar Frankel, The Influence of Investment Banks on Corporate Governance Research Handbook on the Economics of Corporate Law (2013)
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  • Tamar Frankel, Municipalities in Distress: A Preventive View 33 Review of Banking and Financial Law (2013)
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  • Tamar Frankel, Securitization (Asset-Backed Securities and Structured Financing), in 1 Financial Product Fundamentals: Law, Business, Compliance (2012)
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  • Tamar Frankel, The Ponzi Scheme Puzzle: A History and Analysis of Con Artists and Victims (2012)
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  • Tamar Frankel, The Failure of Investor Protection by Disclosure 81 University of Cincinnati Law Review (2012)
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  • Tamar Frankel, Fiduciary Law in the Twenty-First Century 91 Boston University Law Review (2011)
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  • Tamar Frankel, Mark Fagan, Robert Rhee & Carol Morgan, Ethical Issues in Business and the Lawyer's Role 12 Transactions: The Tennessee Journal of Business Law (2011)
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  • Tamar Frankel, Investment Management Regulation, 4th ed. (2011)
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  • Mark Fagan, Tamar Frankel, Eric J. Gouvin & Kathy Z. Heller, Upper-Level Courses: Three Examplars 12 Transactions: The Tennessee Journal of Business Law (2011)
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  • Tamar Frankel, The New Financial Assets: Separating Ownership from Control 33 Seattle University Law Review (2010)
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  • Tamar Frankel, Mutual Fund Advisor Fees and Executive Compensation 7 International Journal of Disclosure and Governance (2010)
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  • Tamar Frankel, The Story of Sub-Prime Mortgage Disaster 15 Studi e Note di Economia (2010)
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  • Tamar Frankel, Fiduciary Law (2010)
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  • Tamar Frankel, Regulating the Financial Markets by Examinations The Panic of 2008: Causes, Consequences and Implications for Reform (2010)
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  • Tamar Frankel, Let the Securities and Exchange Commission Outsource Enforcement by Litigation: A Proposal 11 Journal of Business & Securities Law (2010)
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  • Tamar Frankel, The Breakdown of Legal Categories: Brokers, Dealers, Financial Planners and Advisers 18 Community Banker (2009)
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  • Tamar Frankel, Trust and the Internet, in ABA Guide to International Business Negotiations: A Comparison of Cross-Cultural Issues and Successful Approaches (Jacqueline Klosek, James R Silkenat, and Jeffrey Aresty,2009)
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  • Mark Fagan & Tamar Frankel, Trust and Honesty in the Real World: A Teaching Course in Law, Business, and Public Policy, 2nd ed. (2009)
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  • Tamar Frankel & Mark Fagan, Law and the Financial System: Securitization and Asset Backed Securities: Law, Process, Case Studies and Simulations (2009)
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  • Tamar Frankel, How Should the Financial Markets be Regulated? 12 Wallstreetlawyer.com: Securities in the Electronic Age (2008)
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  • Tamar Frankel, Private Investment Funds: Hedge Funds' Regulation by Size 39 Rutgers Law Journal (2008)
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  • Tamar Frankel, Corporate Boards of Directors: Advisors or Supervisors 77 University of Cincinnati Law Review (2008)
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  • Tamar Frankel, The Problems of Securitizing Sub-Prime Loans 1 Asian Business Lawyer (2008)
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  • Tamar Frankel, Trust, Honesty and Ethics in Business 2008 Finance & Bien Commun (2008)
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  • Tamar Frankel, Fiduciary Law: Analysis, Definitions, Relationships, Duties, Remedies Over History and Culture (2008)
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  • Tamar Frankel, United States Mutual Fund Investors, Their Managers and Distributors, in Conflicts of Interest: Corporate Governance and Financial Markets (Luc Thévenoz and Rashid Bahar,2007)
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  • Mark Fagan & Tamar Frankel, Trust and Honesty in the Real World: A Joint Course for Lawyers, Business People and Regulators (2007)
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  • 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 (2007)
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  • Tamar Frankel, Using Sarbanes-Oxley Act to Reward Honest Corporations 62 Business Lawyer (2006)
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  • Tamar Frankel, What Default Rules Teach Us about Corporations; What Understanding Corporations Teaches Us about Default Rules 33 Florida State University Law Review (2006)
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  • Tamar Frankel, Fall of the Barriers Preventing Abuse of Trust and Deception: The Hidden Changes in Legal Doctrine and Legal Interpretation 5 Journal of Law and Business (2006)
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  • Tamar Frankel, How Did We Get into This Mess? 1 Journal of Business & Technology Law (2006)
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  • Tamar Frankel, The Mysterious Ways of Mutual Funds: Market Timing 25 Annual Review of Banking & Financial Law (2006)
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  • Tamar Frankel, Trust and Honesty: America's Business Culture at a Crossroad (2006)
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  • Tamar Frankel & Joseph Anton, Why the Board is Broken 8 Wallstreetlawyer.com: Securities in the Electronic Age (2005)
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  • Tamar Frankel & Ann Taylor Schwing, Securitization: Structured Financing, Financial Assets Pools, and Asset-backed Securities, 2nd ed. (2005)
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  • Tamar Frankel & Clifford E. Kirsch, Investmentment Management Regulation, 3rd ed. (2005)
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  • Tamar Frankel, The Scope and Jurisprudence of the Investment Management Regulation 83 Washington University School of Law Review (2005)
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  • Tamar Frankel, Governing by Negotiation: The Internet Naming System 12 Cardozo Journal of International and Comparative Law (2004)
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  • Tamar Frankel, The Seventh Circuit Decision in Wsol v. Fiduciary Management Associates and the Amendment to Rule 12b-1 11 The Investment Lawyer (2004)
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  • Tamar Frankel, A Future Development: Selling the Advisory Business 7 Wallstreetlawyer.com: Securities in the Electronic Age (2004)
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  • Tamar Frankel, 2004 Supplement to Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities (2004)
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  • Tamar Frankel, Governing by Negotiation: The Internet Naming System 12 Cardozo Journal of International and Comparative Law (2004)
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  • Tamar Frankel, 2004 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (2004)
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  • Tamar Frankel, Advisory Fees: Evolving Theories 10 The Investment Lawyer (2003)
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  • Tamar Frankel, 2003 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (2003)
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  • Tamar Frankel & Clifford E. Kirsch, Investment Management Regulation, 2nd ed. (2003)
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  • Tamar Frankel, The Law of Cross-Border Securitization: Lex Juris 12 Duke Journal of Comparative and International Law (2002)
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  • Tamar Frankel, Regulation and Investors' Trust in the Securities Market 68 Brooklyn Law Review (2002)
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  • Tamar Frankel, Cumulative Supplement to Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities (2002)
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  • Tamar Frankel, The Managing Lawmaker in Cyberspace: A Power Model 27 Brooklyn Journal of International Law (2002)
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  • Tamar Frankel, Trusting and Non-Trusting on the Internet Symposium: Trust Relationships 81 Boston University Law Review (2001)
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  • Tamar Frankel, Trust Relationships: Introduction 81 Boston University Law Review (2001)
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  • Tamar Frankel, Of Theory and Practice 77 Chicago-Kent Law Review (2001)
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  • Tamar Frankel & Ann Taylor Schwing, The Regulation of Money Managers: Mutual Funds and Advisers, 2nd ed. (2001)
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  • Tamar Frankel, Non-Compete Obligations of Departing Star Partners and the Right of Clients to Their Continued Services 2 Villanova Journal of Law and Investment Management (2001)
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  • Tamar Frankel, The Delaware Business Trust Act Failure as the New Corporate Law 23 Cardozo Law Review (2001)
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  • Tamar Frankel, The Different Design of Corporate Governance Under State Law and Federal Law and the Aftermath of the Strougo Case 7 The Investment Lawyer (2000)
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  • Tamar Frankel, Accountants' Independence the Recent Dilemma 2000 Columbia Business Law Review (2000)
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  • Tamar Frankel, 2000 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (2000)
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  • Tamar Frankel, 2000 Supplement to Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities (2000)
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  • Tamar Frankel & Joseph W. LaPlume, Securitizing Insurance Risks 19 Annual Review of Banking Law (2000)
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  • Tamar Frankel, The Internet, Securities Regulation, and Theory of Law 73 Chicago-Kent Law Review (1999)
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  • Tamar Frankel, Trends in the Regulation of Investment Companies and Investment Advisers 1 Villanova Journal of Law and Investment Management (1999)
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  • Tamar Frankel, Securitization: The Conflict Between Personal and Market Law (Contract and Property) 18 Annual Review of Banking Law (now Review of Banking & Financial Law) (1999)
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  • Tamar Frankel, 1998 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (1998)
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  • Tamar Frankel, 1998 Supplement to Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities (1998)
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  • Tamar Frankel & Norio Higuchi, Trust and Contract in the U.S. and Japan 115 Hōgaku Kyōka Zasshi: Journal of the Jurisprudence Association (1998)
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  • Tamar Frankel & Clifford E. Kirsch, Investment Management Regulation (1998)
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  • Tamar Frankel, Cross-Border Securitization: Without Law, But Not Lawless 8 Duke Journal of Comparative and International Law (1998)
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  • Tamar Frankel, Fiduciary Duties, in The New Palgrave Dictionary of Economics and the Law (Peter Newman,1998)
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  • Tamar Frankel, Securitization of Loans: Asset-Backed Securities and Structured Financing, in Financial Services Revolution : Understanding the Changing Roles of Banks, Mutual Funds, and Insurance Companies (Clifford E. Kirsch,1997)
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  • Tamar Frankel, Knowledge Transfer: Consulting and Teaching in China, in Legislative Drafting for Market Reform: Some Lessons from China (Ann Seidman, Robert B. Seidman, and Janice Payne,1997)
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  • Tamar Frankel, Lessons from the Past: Revenge Yesterday and Today Symposium 76 Boston University Law Review (1996)
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  • Tamar Frankel, 1996 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (1996)
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  • 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 (Clifford E. Kirsch,1996)
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  • Tamar Frankel, 1996 Supplement to Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities (1996)
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  • Tamar Frankel, Foreword: A Recipe for Effecting Institutional Changes to Achieve Privatization 13 Boston University International Law Journal (1995)
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  • Tamar Frankel, Fiduciary Duties as Default Rules 74 Oregon Law Review (1995)
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  • Tamar Frankel, Knowledge Transfer: Suggestions for Developing Countries on the Receiving End 13 Boston University International Law Journal (1995)
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  • Tamar Frankel & Wendy J. Gordon, Enforcing Coasian Bribes for Non-Price Benefits: A New Role for Restitution 67 Southern California Law Review (1994)
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  • Wendy J. Gordon & Tamar Frankel, Enforcing Coasian Bribes for Non-Price Benefits: A New Role for Restitution 67 Southern California Law Review (1994)
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  • Tamar Frankel, "Presumptions and Burdens of Proof as Tools for Legal Stability and Change 17 Harvard Journal of Law and Public Policy (1994)
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  • Tamar Frankel, 1994 Supplement to Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities (1994)
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  • Tamar Frankel, 1994 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (1994)
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  • Tamar Frankel, The Pros and Cons of a Self-Regulatory Organization for Advisers and Mutual Funds The Investment Lawyer (1994)
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  • Tamar Frankel, The Legal Infrastructure of Markets: The Role of Contract and Property Law Essay 73 Boston University Law Review (1993)
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  • Tamar Frankel, J. Deland & J. Mazer, 1993 Supplement to The Regulation of Money Managers : The Investment Company Act and the Investment Advisers Act (1993)
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  • Tamar Frankel, 1993 Supplement to Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities (1993)
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  • Tamar Frankel, Bank Powers to Sell Annuities 49 Business Lawyer (1993)
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  • Tamar Frankel & Manuel A. Utset, 1992 Supplement to Securitization: Structured Financing, Financial Assets Pools, and Asset-Backed Securities (1992)
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  • Tamar Frankel, Securitization: Its Effect on Bank Structure, in Structural Change in Banking (Michael Klausner and Lawrence J. White,1992)
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  • Tamar Frankel, J. Deland & J. Mazer, 1992 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (1992)
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  • Tamar Frankel, Securitization: Structured Financing, Financial Assets Pools, and Asset-backed Securities (1991)
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  • Tamar Frankel, J. Deland & J. Mazer, 1991 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (1991)
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  • Tamar Frankel, The Investment Company Act as a Defense Strategy in Takeovers 1 Journal of Mergers and Acquisitions Analysis (1990)
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  • Tamar Frankel, J. Deland & J. Mazer, 1990 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (1990)
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  • Tamar Frankel, What Can Be Done about Stock Market Volatility 69 Boston University Law Review (1989)
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  • Tamar Frankel, J. Deland & J. Mazer, 1989 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (1989)
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  • Tamar Frankel, J. Deland & J. Mazer, 1988 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (1988)
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  • Tamar Frankel, The Inapplicability of Market Theory to Adoptions 67 Boston University Law Review (1987)
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  • Tamar Frankel, J. Deland & J. Mazer, 1987 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (1987)
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  • Tamar Frankel, The Dual State - Federal Regulation of Financial Institutions - A Policy Proposal 53 Brooklyn Law Review (1987)
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  • Tamar Frankel, Symposium: The Internationalization of the Securities Markets--Introduction 4 Boston University International Law Journal (1986)
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  • Tamar Frankel, J. Deland & J. Mazer, 1985 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Ac (1985)
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  • Tamar Frankel, Corporate Directors Duty of Care: The American Law Institute Project on Corporate Governance 52 George Washington Law Review (1984)
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  • Tamar Frankel, Decision Making for Social Investing, in Social Investing (Dan M. McGill,1984)
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  • Tamar Frankel, Bank Loan Participations under the Securities Acts 2 Institute on Securities Regulation (16th Annual) (1984)
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  • Tamar Frankel, 1984 Supplement to The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (1984)
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  • Tamar Frankel, The Business Judgement Rule, 45 Ohio State Law Journal (1984)
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  • Tamar Frankel & Wayne M. Barsky, The Power Struggle Between Shareholders and Directors: The Demand Requirement in Derivative Suits 12 Hofstra Law Review (1983)
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  • Tamar Frankel, Fiduciary Law 71 California Law Review (1983)
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  • Tamar Frankel, The Power Struggle Between Shareholders and Directors: The Demand Requirement in Derivative Suits 12 Hofstra Law Review (1983)
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  • Tamar Frankel, Implied Rights of Action 67 Virginia Law Review (1981)
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  • Tamar Frankel, Investment Company Advertising 14 Review of Securities Regulation (1981)
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  • Tamar Frankel, Money Market Funds 14 Review of Securities Regulation (1981)
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  • Tamar Frankel, Insider Transactions Under the 1940 Act 11 Review of Securities Regulation (1978)
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  • Tamar Frankel, The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act (1978)
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  • Tamar Frankel, Distribution of Mutual Fund Shares 10 Review of Securities Regulation (1977)
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  • Tamar Frankel, Variable Life Insurance 4 Securities Regulation Law Journal (1976)
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  • Tamar Frankel, Regulation of Variable Life Insurance 48 Notre Dame Lawyer (1973)
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  • Tamar Frankel, Regulation of Variable Life Insurance 48 Notre Dame Lawyer (1973)
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  • Tamar Frankel, Variable Annuities, Variable Insurance and Separate Accounts 51 Boston University Law Review (1971)
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  • Tamar Frankel, The Governor's Private Eyes 49 Boston University Law Review (1969)
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  • Tamar Frankel, The Maloney Act Experiment 6 Boston College Industrial and Commercial Law Review (1967)
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In the Media

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  • Fortune October 12, 2022

    Kevin Bacon Describes His Anger at Losing Most of His Money to Bernie Madoff—and Gives Powerful Advice for Smarter Investing

    Tamar Frankel is quoted.
    read more

  • Compliance Week May 16, 2022

    Conviction, Moral Fortitude Define Lifetime Achievement Winner Tamar Frankel

    Tamar Frankel is honored with Lifetime Achievement Aaward.
    read more

  • Advisor Perspectives October 26, 2021

    Finance Leaders Can Learn about Trust from Supreme Court Justices

    A piece authored by Tamar Frankel.
    read more

  • Advisor Perspectives January 17, 2021

    If Gary Gensler becomes the SEC chairperson, it will harken back to the SEC’s first chairman, Joseph P. Kennedy

    Tamar Frankel is quoted.
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  • Bloomberg September 30, 2020

    INSIGHT: Securitizing the Notes of Needy Small Businesses and Workers

    An article by Tamar Frankel.
    read more

  • Advisor Perspectives September 1, 2020

    The Regulators Do Not Understand Conflicts

    Tamar Frankel is interviewed.
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  • April 6, 2020

    Lawyers Tackle COVID-19: Tamar Frankel of Boston University School of Law

    Tamar Frankel interviewed in <em>LawDragon</em>.
    read more

  • July 23, 2019

    Trump Taps Top Lawyer Against DOL Fiduciary Rule to Head the Department

    Professor Emerita Tamar Frankel is quoted in <em>Investment News</em>.
    read more

  • March 22, 2019

    Wells Fargo Bank and the Glass-Steagall Act

    Tamar Frankel authored a piece for <em>Verdict</em>.
    read more

  • February 1, 2019

    Ponzi Schemes: How They Work and What We Can Learn

    Professor emerita Tamar Frankel authors a piece for <em>Justia</em>.
    read more

  • January 24, 2019

    Mitsubishi Bank’s Museum of Trust in Tokyo

    Tamar Frankel authors a piece for the <em>Verdict</em>.
    read more

  • January 11, 2019

    States’ Regulation of Broker Dealers

    Tamar Frankel authors a piece for <em>Verdict</em>.
    read more

  • November 20, 2018

    In New Jersey, War of Words Over Advisor Rule

    Tamar Frankel quoted in <em>Barron's</em>
    read more

  • November 19, 2018

    Fight for New Jersey Fiduciary Rule Yields Doomsday Rhetoric from Both Sides

    Tamar Frankel quoted in <em>Investment News</em>
    read more

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Stories from The Record

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Courses

Civil Litigation: A2J Skills II: LAW JD 965

3 credits

THIS CLASS IS RESTRICTED to students who have formally applied to and been accepted to the Access to Justice Clinic of the Civil Litigation and Justice Program. This seminar continues the coursework of the fall semester in examining the larger societal context of students' fieldwork representing poverty-law clients in family, housing, employment, and disability cases. Students will actively analyze and address the intersections of the legal system with the multiple systemic barriers their clients face (e.g., gender, race, class, disability). In addition to the skills and legal knowledge relevant to representation of clinic clients, seminar discussions and projects will focus on proposed solutions to the systemic challenges faced by those clients, and situate them within current theories of law as a tool for social justice. NOTE: This course counts towards the 6 credit Experiential Learning requirement. GRADING NOTICE: This course does not offer the CR/NC/H option.

SPRG 2023: LAW JD 965 A1 , Jan 17th to Apr 25th 2023
Days Start End Credits Instructors Bldg Room
Tue 4:20 pm 6:20 pm 3 Naomi M. MannJade Brown LAW 416

Health Care Decisions & Bioethics: LAW JD 727

3 credits

This course will cover issues that arise in clinical healthcare settings, primarily involving who decides and on what basis. Topics include: informed consent and materiality; competence and capacity to give consent; surrogates, advanced directives, physicians orders, and powers of attorney; end-of-life decision making, including withholding/removing treatment, euthanasia, and physician-assisted suicide; clinical ethics committees; patient confidentiality and duties to disclose; human subjects research and institutional review boards; physician conflicts of interest; pre-approval access to drugs; and rationing of scarce healthcare resources.

SPRG 2023: LAW JD 727 A1 , Jan 17th to Apr 25th 2023
Days Start End Credits Instructors Bldg Room
Tue,Thu 10:45 am 12:10 pm 3 Christopher Robertson LAW 413

Identities & Law: Sexualities (S): LAW JD 694

3 credits

This class asks and answers three overarching questions: (1) How do people form their senses of the implications of LGBTQ+ identity statuses?; (2) How might those understandings about identities influence the way the law is structured and enforced?; (3) How might the law reciprocally influence understandings about identities? The class assumes that sexual identities (including being a transgender person) are intersectional. That is, the junction of, say, sexualities and race, creates a unique experience that differs from that of others of the same sexuality but not the same race. The class will read about intersectionality theory and queer theory, LGBTQ+ history, and the evolution of U.S. laws on sexualities. We will also consider the best ways to research topics merging identities and law, write an effective thesis statement and outline, present the topic for class discussion, and finalize a polished paper. Taught from the point of view of an LGBTQ+ ally, this course is for students who seek greater social justice. GRADING NOTICE: This course does not offer the CR/NC/H option. UPPER-CLASS WRITING REQUIREMENT: A limited number of students may use this class to satisfy the requirement. ** A student who fails to attend the initial meeting of a seminar (designated by an (S) in the title), or to obtain permission to be absent from either the instructor or the Registrar, may be administratively dropped from the seminar. Students who are on a wait list for a seminar are required to attend the first seminar meeting to be considered for enrollment.

SPRG 2023: LAW JD 694 A1 , Jan 18th to Apr 26th 2023
Days Start End Credits Instructors Bldg Room
Wed 2:10 pm 4:10 pm 3 Cooper LAW 417

Introduction to Risk Management and Compliance: LAW JD 778

4 credits

Spanning the range of industries from health care to financial services to manufacturing and beyond, compliance is the fast-growing practice of managing the full range of legal risk within highly-regulated organizations. At the complex intersection of law, business operations, reputation, and ethics, compliance lawyers practice "preventive law" to protect companies against corporate criminal and civil liability. We will discuss how to identify and evaluate an organization's legal risks and and work in multidisciplinary teams to develop effective strategies to prevent wrongdoing (and detect violations when they do occur). Among other topics, we will look at the Federal Sentencing Guidelines for Organizations, the Foreign Corrupt Practices Act, and enforcement guidance from the Department of Justice and Securities & Exchange Commission to see how compliance has become a key mechanism of corporate accountability in the U.S. and globally.

FALL 2022: LAW JD 778 A1 , Sep 7th to Dec 7th 2022
Days Start End Credits Instructors Bldg Room
Mon,Wed 4:20 pm 6:20 pm 4 Donald Griffith LAW 209

Regulated Money Management: LAW JD 852

3 credits

With approximately $30 trillion in assets under management, registered investment companies (commonly referred to as mutual funds) perform a significant role in raising and deploying capital within the U.S. financial system. This course is designed to familiarize students with the legal and regulatory framework of the investment management industry. The course focuses primarily on the regulation of investment advisers and mutual funds under the Investment Advisers Act of 1940 and the Investment Company Act of 1940 and examines how these statutes, in combination with other state and federal laws and regulations, govern the formation, structure, distribution and management of mutual funds and various investment-related products and services offered by advisers, brokers and other financial intermediaries. The course also examines the role of the Securities and Exchange Commission in regulating the investment management industry and the responsibilities of legal counsel in practicing before the SEC. GRADING NOTICE: This course does not offer the CR/NC/H option.

FALL 2022: LAW JD 852 A1 , Sep 6th to Dec 8th 2022
Days Start End Credits Instructors Bldg Room
Tue,Thu 10:45 am 12:10 pm 3 Philip H. Newman LAW 204

The Criminal System: Theory and Practice (S): LAW JD 987

3 credits

THIS CLASS IS RESTRICTED to students who have received permission from the Office of Experiential Education to enroll. This seminar will combine an externship field placement for each student with critical analysis of selected issues in the practice of American criminal justice. Students will combine reading and research on the American system of criminalization with their own careful reflections on their experiences in their crime-related externships. Crime related externships may include: Suffolk County DA's Office, Superior Court Units; CPCS, Superior Court Units; Prisoners Legal Services, and Boston Police Department. The weekly subject matter of the seminar will depend in part on the precise externship placements of the students but will likely include a selection from the following list: the practice of misdemeanor courts; the practice realities of indigent defense; racial dimensions of policing, prosecution, and incarceration; family and community impact of criminal justice policies and practices; the capacity of the poor to find justice in the criminal system; police violence and culture; plea bargaining; prosecutorial discretion; police discretion; drug law and policy; the experience of incarceration (including prisoners' rights, solitary confinement, prison violence, and other matters); alternatives to prison, and other topics. We will also look at comparisons with criminal justice systems in other countries and avenues for reform. Students will make presentations to the group and execute substantial written assignments. LIMITED WRITING REQUIREMENT OPTION: A limited number of students will be permitted to satisfy the upper-class writing requirement with this seminar after consultation with the instructor. NOTE: This class may be used for credits toward Experiential Learning requirement or the upper-class writing requirement. This class may not be used to satisfy more than one requirement. GRADING NOTICE: This class will not offer the CR/NC/H option. ** 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.

FALL 2022: LAW JD 987 A1 , Sep 7th to Dec 7th 2022
Days Start End Credits Instructors Bldg Room
Wed 2:10 pm 4:10 pm 3 Gerald F. Leonard LAW 519