Main Content
Bell, Clarity and Predictability at the SEC, 3 Colum. Bus. L. Rev. 865 (2012)
2.4.2
http://isites.harvard.edu/fs/docs/icb.topic1379250.files/Topics%20in%20Financial%20Regulation/Bell%20--%20Clarity%20and%20Predictability%20at%20the%20SEC%20%20---%203%20Colum%20Bus%20L%20Rev%20865%20--%202012.pdf
Bingham Legal Alert: SEC's Investor Advisory Committee Recommends Framework for Uniform Fiduciary Duty (Dec. 11, 2013)
2.2.6
http://isites.harvard.edu/fs/docs/icb.topic1379250.files/Topics%20in%20Financial%20Regulation/Bingham%20Legal%20Alert%20of%2012-11-13.pdf
Case Comment on Goldstein v. SEC, 451 F.3d 873 (D.C.Cir. 2006), 120 Harv. L. Rev. 1394 (2007)
7.1
http://isites.harvard.edu/fs/docs/icb.topic1379250.files/Topics%20in%20Financial%20Regulation/SEC%20v%20Goldstein%20--%20HLR%20Case%20Comment.pdf
Chapter 1.4 -- Frameworks for Financial Regulation -- DRAFT
1.1.1
http://isites.harvard.edu/fs/docs/icb.topic1379250.files/Topics%20in%20Financial%20Regulation/Draft%20of%20Chapter%201.4%20on%20Frameworks%20for%20Financial%20Regulation.pdf
Chapter Nine: Introduction to the Securities Industry (1999) (Background Reading)
2.1
http://isites.harvard.edu/fs/docs/icb.topic1379250.files/Topics%20in%20Financial%20Regulation/Excerpt%20from%20Chapter%2009%20on%20History%20of%20Broker%20Dealers.pdf
Chapter Ten: The Regulation of Broker-Dealers (1999) (Background only)
2.2.7
http://isites.harvard.edu/fs/docs/icb.topic1379250.files/Topics%20in%20Financial%20Regulation/Excerpt%20from%20Chapter%2010%20on%20the%20Regulation%20of%20Broker-Dealers.pdf
Draft Chapter 1.5 -- Regulatory Perimeters and the Goals and Tools of Financial Regulation
1.2.1
http://isites.harvard.edu/fs/docs/icb.topic1379250.files/Topics%20in%20Financial%20Regulation/Draft%20of%20Chapter%201.5%20Regulatory%20Perimeters%20and%20the%20Goals%20and%20Tools%20of%20Financial%20Regulation.pdf
Excerpt from Chapter Eight on ERISA (1999)
3.4.5
http://isites.harvard.edu/fs/docs/icb.topic1379250.files/Topics%20in%20Financial%20Regulation/Excerpt%20from%20Chapter%20Eight%20on%20ERISA.pdf
Excerpt from Chapter Eight on McCarran-Ferguson (1999)
3.4.4
http://isites.harvard.edu/fs/docs/icb.topic1379250.files/Topics%20in%20Financial%20Regulation/Excerpt%20from%20Chapter%20Eight%20on%20McCarran%20Ferguson%20Act.pdf
Excerpt from Chapter Seven on Debt Cancellation Contracts (1999)
3.4.3
http://isites.harvard.edu/fs/docs/icb.topic1379250.files/Topics%20in%20Financial%20Regulation/Excerpt%20from%20Chapter%20Seven%20on%20Debt%20Cancellation%20Contracts.pdf
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