Financial Regulation: Law and Policy (Foundation Press 2016) by Michael S. Barr, Howell E. Jackson, and Margaret E. Tahyar | Financial Regulation: Law and Policy | March 01, 2016

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Financial Regulation: Law and Policy (Foundation Press 2016) by Michael S. Barr, Howell E. Jackson, and Margaret E. Tahyar

by Financial Regulation: Law and Policy Show/Hide
  1. 0 Show/Hide More Overview: Online Resources and Authors' Biographies
    Original Creator: Financial Regulation: Law and Policy

    This website contains online supplements to Barr, Jackson and Tahyar, Financial Regulation: Law and Policy (Foundation Press 2016).  It is designed to update the book with recent developments and additional teacher materials.  All readers of the Financial Regulation text are welcome to make use of the site's content.

    In general, the site tracks the organization of the casebook. It is divided into twelve parts that correspond to the parts of the book.  Supplemental readings, which either update or supplement the text, are further organized by chapter.  For most parts of the book, we include HLS Experiential Learning Case Studies, which are designed to explore specific legal or policy issues in greater detail. (Typically, these case studies are located in a folder located after the last chapter in each Part.) Professors adopting the Financial Regulation text are most welcome to make use of these studies in their courses, and may distribute copies to students without further charge.  In most cases, slides and teaching notes are available upon request (to instructors) from Professor Howell Jackson at hjackson@law.harvard.edu.

    We will be populating this site over the course of the 2017-2018 Academic Year.  Chapter folders that include posted materials will be marked with an asterisk to facilitate searches.

    Suggestions as to how this site might be improved, or as to additional materials that might be posted, are most welcome.

    Good luck.

     

    1. 0.2 Show/Hide More Speech of Federal Reserve Board Governor Daniel K. Tarullo on Pedagogy and Scholarship in a Post-Crisis World (Oct. 21, 2016)
      Remarks by Governor Tarullo given at a Conference on the New Pedagogy of Financial Regulation at Columbia Law School and exploring the challenges of developing curriculum in this area.
    2. 0.3 Show/Hide More Memo on HLS Case Studies in Financial Regulation with Appendix
      This memorandum introduces the HLS Experiential Learning Case Studies that are posted on this site. These materials will be updated from time to time.
    3. 0.4 Show/Hide More Online Supplement Index (as of Aug. 9, 2017)
      This Index outlines all documents in this Online Supplement as of August 9, 2017. Further items will continue to be added as deemed appropriate by the co-authors.
    1. 1.1 Show/Hide More Finance Today *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 1.1.
      1. 1.1.2 Show/Hide More Deutsche Bank Chartbook on U.S. Banks (Mar. 2017)
        Use with Section III.B. Insured Depository Institutions, beginning on page 13.
      2. 1.1.3 Show/Hide More 2016 FSOC Annual Report
        Use with Section III.B. Insured Depository Institutions, beginning on page 13.
      3. 1.1.5 Show/Hide More FDIC Report on Commercial Banking, First Quarter 2017
        Use with Section III.B. Insured Depository Institutions, beginning on page 13.
      4. 1.1.6 Show/Hide More Selected Postings on Financial Regulatory Reform Under the Trump Administration
        Original Creator: Financial Regulation: Law and Policy
        For materials dealing with Financial Regulatory Reform under the Trump Administration and more up-to-date coverage of unfolding events, see the Davis Polk FinRegReform Blog, which is located here.
    2. 1.2 Show/Hide More The History of U.S. Financial Regulation: A Thematic Overview *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 1.2.
      1. 1.2.1 Show/Hide More Daniel K. Tarullo, "Departing Thoughts" (Apr. 4, 2017)
        Use with Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.
      2. 1.2.2 Show/Hide More Robin Greenwood, Samuel G. Hanson, Jeremey Stein and Adi Sunderam, The Financial Regulatory Reform Agenda in 2017 (Sep. 2017)
        Use with Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.
      3. 1.2.3 Show/Hide More Executive Order on Reducing Regulation and Controlling Regulatory Costs (Jan. 30, 2017)
        Use with Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.
      4. 1.2.4 Show/Hide More Executive Order on Core Principles for Regulating the United States Financial System (Feb. 3, 2017)
        Use with Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.
      5. 1.2.5 Show/Hide More Executive Order on Enforcing the Regulatory Reform Agenda (Feb. 24, 2017)
        Use with Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.
      6. 1.2.6 Show/Hide More Executive Order on a Comprehensive Plan for Reorganizing the Executive Branch (Mar. 13, 2017)
        Use with Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.
      7. 1.2.7 Show/Hide More Presidential Memorandum for the Secretary of the Treasury - Orderly Liquidation Authority (Apr. 21, 2017)
        Use with Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.
      8. 1.2.8 Show/Hide More Presidential Memorandum for the Secretary of the Treasury - Financial Stability Oversight Council (Apr. 21, 2017)
        Use with Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.
      9. 1.2.9 Show/Hide More Paul Mahoney, Deregulation and the Subprime Crisis (Apr. 2017)
        Use with Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.
      10. 1.2.10 Show/Hide More House Financial Services Committee, Comprehensive Summary: The Financial CHOICE Act (Apr. 2017)

        Use with Chapter 1.2 Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.

        Use with Chapter 5.1 Section V.C. Ongoing Policy Debates, beginning on page 576.

      11. 1.2.11 Show/Hide More U.S. Department of the Treasury, A Financial System That Creates Economic Opportunities: Banks and Credit Unions (June 2, 2017)
        Use with Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.
      12. 1.2.12 Show/Hide More Davis Polk, Financial CHOICE Act 2.0 Passes House Financial Services Committee (May 8, 2017)
        Use with Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.
    3. 1.3 Show/Hide More Regulatory Frameworks *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 1.3.
      1. 1.3.1 Show/Hide More Volcker Alliance, Reshaping the Financial Regulatory System: Long Delayed, Now Crucial (2015)

        This Volcker Alliance Report offers one of the most recent proposals for regulatory reform and summarizes a large number of similarly-spirited proposals that have preceded it.

        Use with Section III.C. Organizational Design After the Dodd-Frank Act, beginning on page 87.

      2. 1.3.2 Show/Hide More The Department of the Treasury, Blueprint for a Modernized Financial Regulatory Structure (March 2008)

        This report on regulatory reform was released by the George W. Bush Treasury Department in the Spring of 2008, just before the financial crisis hit. It represents another approach to regulatory reform.

        Use with Section III.C. Organizational Design After the Dodd-Frank Act, beginning on page 87.

      3. 1.3.3 Show/Hide More Elizabeth Brown, Prior Proposals to Consolidate Federal Financial Regulators (Apr. 20, 2015)
        Use with Section III.C Organizational Design After the Dodd-Frank Act, beginning on page 87.
      4. 1.3.4 Show/Hide More SIFMA White Paper: Rebalancing the Financial Regulatory Landscape (May 1, 2017)
        Use with Section IV.B. Reform After the Financial Crisis, beginning on page 99.
        1. 1.3.5.1 Show/Hide More PHH v. CFPB Panel Opinion on Constitutionality of CFPB Structure (Oct. 2016)

          Use with Chapter 1.3 Section IV.B. Reform After the Financial Crisis, beginning on page 99.

          Use with Chapter 5.1 Section V.C. Ongoing Policy Debates, beginning on page 576.

        2. 1.3.5.2 Show/Hide More PHH v. CFPB Amicus Brief, PHH v. Acting Assistant Attorney General Chad Readler (Mar. 17, 2017)

          Use with Chapter 1.3 Section IV.B. Reform After the Financial Crisis, beginning on page 99.

          Use with Chapter 5.1 Section V.C. Ongoing Policy Debates, beginning on page 576.

        3. 1.3.5.3 Show/Hide More PHH v. CFPB, Amicus Brief, Maxine Waters (D-CA) with 40 current and former members of Congress (Mar. 31, 2017)

          Use with Chapter 1.3 Section IV.B. Reform After the Financial Crisis, beginning on page 99.

          Use with Chapter 5.1 Section V.C. Ongoing Policy Debates, beginning on page 576.

        4. 1.3.5.4 Show/Hide More PHH v. CFPB, Amicus Brief, Michael S. Barr, Deepak Gupta & Adam J. Levitin (Mar. 31, 2017)

          Use with Chapter 1.3 Section IV.B. Reform After the Financial Crisis, beginning on page 99.

          Use with Chapter 5.1 Section V.C. Ongoing Policy Debates, beginning on page 576.

    4. 1.4 Show/Hide More The Regulatory Perimeter *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 1.4.
      1. 1.4.1 Show/Hide More Madden v Midland SG Amicus Brief

        This brief presents the government's position on the Madden case as it was pending before the Supreme Court. For additional materials on the Madden decision and related matters, see the HLS Experiential Learning Problems posted in the folder below under Part XII where we deal with the securitization of financial assets.

        Use with Section IV. Overlapping Regulatory Perimeters, beginning on page 122.

      2. 1.4.2 Show/Hide More Chapman and Cutler LLP, The Regulation of Marketplace Lending: A Summary of the Principal Issues (Apr. 2016)

        This 2016 memorandum reviews the very large number of potential regulatory perimeters within which marketplace lending might be found to fall.

        Use with Section IV. Overlapping Regulatory Perimeters, beginning on page 122.

      3. 1.4.3 Show/Hide More Madden v. Midland Opinion and Order 11-CV-8149(CS) (Feb. 27, 2017)

        Use with Chapter 1.4 Section IV. Overlapping Regulatory Perimeters, beginning on page 122.

        Use with Chapter 2.1 Section IV. Rent-a-Charter, beginning on page 180.

    5. 1.5 Show/Hide More A Tour of the Balance Sheet
      Original Creator: Financial Regulation: Law and Policy
      No materials are yet posted in this folder.
    6. 1.6 Show/Hide More Experiential Learning Materials for Part I *
      Original Creator: Financial Regulation: Law and Policy
      Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part I.
      1. 1.6.2 Show/Hide More HLS Unidentified Financial Institutions Exercise
        This case study may be used in connection with Chapter 1.5 — A Tour of the Balance Sheet. The exercise includes a number of the balance sheets discussed in that chapter as well as several others. Students are invited to identify the financial institutions presented in a series of unidentified balance sheets and income statements from 2007. Instructors can obtain additional slides and teaching notes for this exercise from Professor Howell E. Jackson at hjackson@law.harvard.edu.
    1. 2.1 Show/Hide More The Impact of Charter Choice *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 2.1. The materials are primarily focused on the OCC's FinTech proposals as parallel efforts in the United Kingdom.
      1. 2.1.3 Show/Hide More FCA Regulatory Sandbox Announcement
        Use with Section IV. Rent-a-Charter, beginning on page 180.
      2. 2.1.6 Show/Hide More CSBS v. OCC Complaint (Apr. 2017)
        Use with Section IV. Rent-a-Charter, beginning on page 180.
      3. 2.1.7 Show/Hide More DFS v. OCC Complaint (May 2017)
        Use with Section IV. Rent-a-Charter, beginning on page 180.
      4. 2.1.8 Show/Hide More Madden v. Midland Opinion and Order 11-CV-8149(CS) (Feb. 27, 2017)

        Use with Chapter 1.4 Section IV. Overlapping Regulatory Perimeters, beginning on page 122.

        Use with Chapter 2.1 Section IV. Rent-a-Charter, beginning on page 180.

      5. 2.1.10 Show/Hide More CGAP Blog Post – Did India’s Central Bank get Payments Bank Approvals Right? (Aug.27, 2015)
        Use with Section II. Different Charter Types, beginning on page 165.
    2. 2.2 Show/Hide More Activities Restrictions and the Business of Banking *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 2.2.
      1. 2.2.1 Show/Hide More Alan White, Banks as Utilities (Jan. 2016)
        Use with Section III. Narrow Banking Reprised Since the Financial Crisis, beginning on page 210.
    3. 2.3 Show/Hide More Portfolio Diversification and Restrictions on Transactions with Affiliates *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 2.3.
      1. 2.3.1 Show/Hide More Sullivan & Cromwell Memo - Single Counterparty Credit Limits (Mar. 2016)
        Use with Section II, Lending and Counterparty Limits, on page 216.
      2. 2.3.2 Show/Hide More Davis Polk Visual Memo - Single-Counterparty Credit Limits Proposed Rule (Mar. 2016)
        Use with Section II, Lending and Counterparty Limits, beginning on page 214.
    4. 2.4 Show/Hide More Bank Deposits *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 2.4.
      1. 2.4.1 Show/Hide More GAO Report on Reserve Requirements (Oct. 2016)
        Use with Section II.D. Reserve Requirements, beginning on page 233.
    5. 2.5 Show/Hide More Capital Regulation: An Introduction *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 2.5.
      1. 2.5.1 Show/Hide More Autonomous Report on Change in Capital Ratios (Mar. 1, 2017)
        Use with Section I.B, The Call and Rise of Capital Levels, beginning on page 261.
      2. 2.5.2 Show/Hide More Under Pressure: The Shifting Landscape of Banking Regulations (May 22, 2017)
        Use with Section I, What is Capital?, beginning on page 259.
      3. 2.5.3 Show/Hide More Charles A.E. Goodhart, In Praise of Stress Tests (2016)
        Use with Section I.B, The Call and Rise of Capital Levels, beginning on page 261.
      4. 2.5.4 Show/Hide More Davis Polk Visual Summary of 2017 CCAR and DFAST Results
        Use with Section I.B, The Call and Rise of Capital Levels, beginning on page 261.
    6. 2.6 Show/Hide More Capital Regulation: Pre-Financial Crisis to Basel II
      Original Creator: Financial Regulation: Law and Policy
      No materials are yet posted in this folder.
    7. 2.7 Show/Hide More Capital Regulation: Basel III and Beyond *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental materials for Chapter 2.7.
      1. 2.7.1 Show/Hide More Davis Polk Deck – Implementation of Basel III for U.S. GSIBs (Apr. 17, 2015)
        Use with Section III. Basel III, beginning on page 315.
      2. 2.7.2 Show/Hide More Bipartisan Policy Committee - Did Policymakers Get Post-Crisis Financial Regulation Right? (Sep. 2016)

        Bipartisan Policy Committee – Did Policymakers Get Post-Crisis Financial Regulation Right? (Sept. 2016

        Use with Chapter 2.6 Section V. Critiques of and Alternatives to Basel III, beginning on page 322.

        Use with Chapter 5.1 Section V.C. Ongoing Policy Debates, beginning on page 576.

      3. 2.7.3 Show/Hide More Debevoise & Plimpton Client Update - Prudential Regulation in an Age of Protectionism (Dec. 2016)

        Debevoise & Plimpton Client Update – Prudential Regulation in an Age of Protectionism (December 2016

        Use with Section V. Critiques of and Alternatives to Basel III, beginning on page 322.

      4. 2.7.4 Show/Hide More Daniel K. Tarullo Speech, "Next Steps in the Evolution of Stress Testing" (Sep. 26, 2016)
        Use with Section II.A Stress Testing and Capital Planning, beginning on page 308.
    8. 2.8 Show/Hide More Experiential Learning Materials for Part II *
      Original Creator: Financial Regulation: Law and Policy
      Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part II. 
      1. 2.8.4 Show/Hide More HBS First National Bank Corporation Case
        HBS First National Bank Corporation Case
    1. 3.1 Show/Hide More Introduction to Insurance Regulation *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 3.1
    2. 3.2 Show/Hide More The Protection of Consumers in Insurance Regulation *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 3.2.
      1. 3.2.1 Show/Hide More Dan Schwartz, Coverage Information in Insurance Law (2016)
        Use with Section II. The Interpretation of Insurance Contracts, beginning on page 368.
    3. 3.3 Show/Hide More The Expanding Federal Role in Insurance Regulation *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 3.3.
    4. 3.4 Show/Hide More Experiential Learning Materials for Part III*
      Original Creator: Financial Regulation: Law and Policy
      Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part III
    1. 4.1 Show/Hide More Introduction to the Regulation of Securities Firms
      Original Creator: Financial Regulation: Law and Policy
      No materials are yet posted in this folder.
    2. 4.2 Show/Hide More Securities Firms and the Retail Investor *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 4.2.
      1. 4.2.1 Show/Hide More DOL Factsheet on Final Fiduciary Rule (April 2016)
        Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
      2. 4.2.2 Show/Hide More Morgan Lewis Memo - The 2016 Election and the Future of the Department of Labor Fiduciary Rule (November 2016)
        Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
      3. 4.2.3 Show/Hide More U.S. Chamber of Commerce, Comment Letter on Definition of the Term "Fiduciary" (Apr. 17, 2017)
        Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
      4. 4.2.4 Show/Hide More John Oliver "Last Week Tonight" Clip - Securities Firms
        Use with Section I. Introduction, beginning on page 461.
      5. 4.2.5 Show/Hide More Financial Planning Coalition, Comment Letter on Definition of the Term "Fiduciary"
        Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
      6. 4.2.6 Show/Hide More SIFMA AMG, Comment Letter on Definition of the Term "Fiduciary" (Apr. 2017)
        Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
      7. 4.2.7 Show/Hide More DOL Chart Illustrating Changes from Department of Labor's 2015 Conflict of Interest from Proposal to Final
        Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
      8. 4.2.10 Show/Hide More Presidential Memorandum on Fiduciary Duty Rule (Feb. 3, 2017)
        Use with Section IV.B. Harmonization of Fiduciary Duties, beginning on page 483.
      9. 4.2.11 Show/Hide More CFPB Final Rule on Arbitration Agreements (July 2017)

        Use with Chapter 4.2 Section IV. The Rise of Securities Arbitration, beginning on page 488.

        Use with Chapter 5.1 Section V. The Consumer Financial Protection Bureau, beginning on page 565.

    3. 4.3 Show/Hide More Securities Firms in Corporate Transactions
      Original Creator: Financial Regulation: Law and Policy
      No materials are yet posted in this folder.
    4. 4.4 Show/Hide More Exchanges and Trading *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 4.4.
      1. 4.4.1 Show/Hide More Michael Wellman & Elaine Wah, Latency Arbitrage, Market Fragmentation, and Efficiency: A Two-Market Model (2013)
        Use with Section IV. Challenges in Trading Markets Today, beginning on page 541.
      2. 4.4.2 Show/Hide More Michael Morelli, Regulating Secondary Markets in the High Frequency Age (May 2016)
        Use with Section IV. Challenges in Trading Markets Today, beginning on page 541.
    5. 4.5 Show/Hide More Experiential Learning Materials for Part IV*
      Original Creator: Financial Regulation: Law and Policy
      Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part IV
    1. 5.1 Show/Hide More The Consumer Financial Protection Bureau *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 5.1.
      1. 5.1.1 Show/Hide More CFPB Press Release on Mandatory Arbitration Clauses (May 2016)
        Use with Section V.A. Structure and Powers of the CFPB, beginning on page 565.
      2. 5.1.2 Show/Hide More CFPB Final Rule on Arbitration Agreements (July 2017)

        Use with Chapter 4.2 Section IV. The Rise of Securities Arbitration, beginning on page 488.

        Use with Chapter 5.1 Section V. The Consumer Financial Protection Bureau, beginning on page 565.

      3. 5.1.3 Show/Hide More Bipartisan Policy Committee - Did Policymakers Get Post-Crisis Financial Regulation Right? (Sep. 2016)

        Bipartisan Policy Committee – Did Policymakers Get Post-Crisis Financial Regulation Right? (Sept. 2016

        Use with Chapter 2.6 Section V. Critiques of and Alternatives to Basel III, beginning on page 322.

        Use with Chapter 5.1 Section V.C. Ongoing Policy Debates, beginning on page 576.

      4. 5.1.4 Show/Hide More House Financial Services Committee, Comprehensive Summary: The Financial CHOICE Act (Apr. 2017)

        Use with Chapter 1.2 Section VII. The Financial Crisis and Its Aftermath, beginning on page 58.

        Use with Chapter 5.1 Section V.C. Ongoing Policy Debates, beginning on page 576.

      5. 5.1.5 Show/Hide More The Financial CHOICE Act, Title VII, Section 711 – Consumer Law Enforcement Agency
        Use with Section V.C. Ongoing Policy Debates, beginning on page 576.
      6. 5.1.6 Show/Hide More PHH v. CFPB Panel Opinion on Constitutionality of CFPB Structure (Oct. 2016)

        Use with Chapter 1.3 Section IV.B. Reform After the Financial Crisis, beginning on page 99.

        Use with Chapter 5.1 Section V.C. Ongoing Policy Debates, beginning on page 576.

      7. 5.1.7 Show/Hide More PHH v. CFPB, Amicus Brief, Maxine Waters (D-CA) with 40 current and former members of Congress (Mar. 31, 2017)

        Use with Chapter 1.3 Section IV.B. Reform After the Financial Crisis, beginning on page 99.

        Use with Chapter 5.1 Section V.C. Ongoing Policy Debates, beginning on page 576.

      8. 5.1.8 Show/Hide More PHH v. CFPB, Amicus Brief, Michael S. Barr, Deepak Gupta & Adam J. Levitin (Mar. 31, 2017)

        Use with Chapter 1.3 Section IV.B. Reform After the Financial Crisis, beginning on page 99.

        Use with Chapter 5.1 Section V.C. Ongoing Policy Debates, beginning on page 576.

      9. 5.1.9 Show/Hide More PHH v. CFPB Amicus Brief, PHH v. Acting Assistant Attorney General Chad Readler (Mar. 17, 2017)

        Use with Chapter 1.3 Section IV.B. Reform After the Financial Crisis, beginning on page 99.

        Use with Chapter 5.1 Section V.C. Ongoing Policy Debates, beginning on page 576.

      10. 5.1.10 Show/Hide More D.C. Circuit PHH v. CFPB Opinion (Oct. 11, 2016)
        Use with Section V.C. Ongoing Policy Debates, beginning on page 576.
      11. 5.1.11 Show/Hide More Stephen J. Choi & Adam C. Pritchard, The SEC's Shift to Administrative Proceedings: An Empirical Assessment (Feb. 2016)
        Use with Section V. The Consumer Financial Protection Bureau, beginning on page 565.
    2. 5.2 Show/Hide More Mortgages
      Original Creator: Financial Regulation: Law and Policy
      No materials are yet posted in this folder.
    3. 5.3 Show/Hide More Consumer Financial Products and Services *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 5.3.
      1. 5.3.1 Show/Hide More CFPB Press Release on Payday Lending Proposal (June 2016)
        Use with Section V. Payday Loans, beginning on page 621.
      2. 5.3.3 Show/Hide More Chris Smart, The Financial Education of the Eurozone (Jan. 2017)
        Use with Section IV. Credit Cards, beginning on page 618.
      3. 5.3.4 Show/Hide More Chris Smart, Regulating the Data that Drive 21st-Century Economic Growth (June 2017)
        Use with Section VIII. Financial Privacy, beginning on page 629.
    4. 5.4 Show/Hide More Comparing Consumer Protection Models Across Sectors
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 5.4.
      1. 5.4.1 Show/Hide More Chris Smart, The Financial Education of the Eurozone (Jan. 2017)
        Use with Section IV. Credit Cards, beginning on page 618.
    5. 5.5 Show/Hide More Experiential Learning Materials for Part V *
      Original Creator: Financial Regulation: Law and Policy
      Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part V
    1. 6.1 Show/Hide More Regulation of Holding Companies *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 6.1.
      1. 6.1.2 Show/Hide More Fed, FDIC, and OCC Report on Section 620 of the Dodd-Frank Act (Sep. 2016)
        Use with Section I. Introduction, beginning on page 661.
    2. 6.2 Show/Hide More Systemically Important Financial Institutions *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 6.2.
        1. 6.2.1.1 Show/Hide More MetLife v. FSOC Decision (Mar. 30, 2016)
          Use with Section V.B Non-Bank Designations, beginning on page 704.
        2. 6.2.1.2 Show/Hide More MetLife v. FSOC Plaintiff Appellate Brief 1 (June 2016)
          Use with Section V.B Non-Bank Designations, beginning on page 704.
        3. 6.2.1.3 Show/Hide More MetLife Defendant Opening Brief (May 2015)
          Use with Section V.B Non-Bank Designations, beginning on page 704.
        4. 6.2.1.4 Show/Hide More MetLife v. FSOC Amicus Brief of Current and Former Members of Congress in Support of Defendant (FSOC)
          Use with Section V.B Non-Bank Designations, beginning on page 704.
        5. 6.2.1.5 Show/Hide More MetLife v. FSOC U.S. Chamber Amicus Brief (June 2015)
          Use with Section V.B Non-Bank Designations, beginning on page 704.
        6. 6.2.1.6 Show/Hide More MetLife v. FSOC Notice of Appeal (Apr. 8, 2016)
          Use with Section V.B Non-Bank Designations, beginning on page 704.
        7. 6.2.1.7 Show/Hide More MetLife v. FSOC Jackson Jr., Metzger, Andrias and Barr Amicus Brief (May 2015)
          Use with Section V.B Non-Bank Designations, beginning on page 704.
        8. 6.2.1.8 Show/Hide More MetLife v. FSOC Barr, Metzger and Jackson Jr. Amicus Brief on Appeal (June 2016)
          Use with Section V.B Non-Bank Designations, beginning on page 704.
      1. 6.2.2 Show/Hide More GE De-Designation Decision from the FSOC (June 28, 2016)
        Use with Section V.B Non-Bank Designations, beginning on page 704.
    3. 6.3 Show/Hide More Foreign Banks in the United States and U.S. Banks Abroad *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 6.3.
      1. 6.3.1 Show/Hide More Cleary Gottlieb Memo - EU Proposes Intermediate Holding Company Requirements for Non-EU Banks and Broker-Dealers (November 2016)
        Use with Section II.G. The Intermediate Holding Company Requirement, beginning on page 738.
      2. 6.3.3 Show/Hide More Freshfields Memo - Giving Brexit a Spin (Sep. 2016)
        Use with Section III. U.S. Banks Abroad, beginning on page 746.
    4. 6.4 Show/Hide More Experiential Learning Materials for Part VI*
      Original Creator: Financial Regulation: Law and Policy
      Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part VI
    1. 7.1 Show/Hide More Introduction to Payment Systems *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 7.1.
      1. 7.1.1 Show/Hide More How Will Demonetization Affect Business in India in 2017? (Jan. 5, 2017)
        Use with Section II. Cash, beginning on page 758.
      2. 7.1.2 Show/Hide More Peter Sands, The Case for Eliminating High Denomination Notes (Feb. 2016)
        Use with Section II. Cash, beginning on page 758.
    2. 7.2 Show/Hide More Examining Critical Issues in Payment Systems *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 7.2.
      1. 7.2.1 Show/Hide More BPC Blog Post - Why Blockchain Could Bolster Anti-Money Laundering Efforts (June 2, 2016)
        Use with Section V Responding to Innovation, beginning on page 795.
      2. 7.2.2 Show/Hide More Jesner v. Arab Bank Amicus Brief of Financial Regulation Scholars and Former Government Officials (June 2017)
        Use with Section IV. Preventing Illicit Use of Payment Systems, beginning on page 792.
    3. 7.3 Show/Hide More Experiential Learning Materials for Part VII*
      Original Creator: Financial Regulation: Law and Policy
      Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part VII
    1. 8.1 Show/Hide More Corporate Governance *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 8.1.
      1. 8.1.2 Show/Hide More Davis Polk Visual Memo - Incentive Compensation for Financial Institutions: Reproposal (May 12, 2016)
        Use with Section V. Modifying Incentives Through Compensation, beginning on page 822.
      2. 8.1.3 Show/Hide More OCC, Wells Fargo Order on Sales Practices (Sep. 8, 2016)
        Use with Section III. Responsibilities and Duties of Directors, beginning on page 811.
      3. 8.1.4 Show/Hide More Wells Fargo, Independent Directors of the Board Sales Practices Investigation Report (Apr. 10, 2017)
        Use with Section III. Responsibilities and Duties of Directors, beginning on page 811.
      4. 8.1.5 Show/Hide More OCC Report, Lessons Learned Review of Supervision of Sales Practices at Wells Fargo (Apr. 19, 2017)
        Use with Section III. Responsibilities and Duties of Directors, beginning on page 811.
      5. 8.1.6 Show/Hide More H. Jackson Blog Post, One Take on the Report of the Independent Directors of Wells Fargo: Vote the Bums Out (Apr. 22, 2017)
        Use with Section III. Responsibilities and Duties of Directors, beginning on page 811.
      6. 8.1.7 Show/Hide More Julie Andersen Hill and Douglas K. Moll, The Duty of Care of Bank Directors and Officers (Apr. 2017)
        Use with Section III. Responsibilities and Duties of Directors, beginning on page 811.
    2. 8.2 Show/Hide More Supervision and Enforcement *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 8.2.
      1. 8.2.1 Show/Hide More US EX REL. O'DONNELL v. Countrywide Home Loans Inc. (Court of Appeals)
        Notes:
        Use with Section <span class="caps">III</span>. Enforcement Policy and Trends, beginning on page 837.
      2. 8.2.2 Show/Hide More Boston Consulting Group, Global Risk 2017: Staying the Course in Banking (Mar. 2, 2017)
        Use with Section III. Enforcement Policy and Trends, beginning on page 837.
      3. 8.2.3 Show/Hide More Bandimere v. SEC, No 15-9586 (10 Cir., Dec. 27, 2016)
        Use with Section III. Enforcement Policy and Trends, beginning on page 837.
    3. 8.3 Show/Hide More Experiential Learning Materials for Part VIII*
      Original Creator: Financial Regulation: Law and Policy
      Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part VIII
    1. 9.1 Show/Hide More Lender of Last Resort
      Original Creator: Financial Regulation: Law and Policy
      No materials are yet posted in this folder.
    2. 9.2 Show/Hide More Traditional Toolkit for Bank Failures *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 9.2.
      1. 9.2.1 Show/Hide More DEUTSCHE BANK v. FDIC
        Notes:
        Use with Section IV. Purchase and Assumptions, beginning on page 898.
      2. 9.2.2 Show/Hide More FDIC P&A Agreement on WaMu (Sep. 2008)
        Use with Section IV. Purchase and Assumptions, beginning on page 898.
    3. 9.3 Show/Hide More After the Crisis: From Orderly Liquidation to Bail-In *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 9.3.
      1. 9.3.1 Show/Hide More Joint Press Release on Living Wills (Apr. 2016)
        Use with Section III.V. Living Wills, beginning on page 929.
      2. 9.3.2 Show/Hide More Davis Polk Visual Memo – Federal Reserve's Final Rule on TLAC (Jan. 11, 2017)
        Use with Section V. Total Loss-Absorbing Capacity, beginning on page 933.
      3. 9.3.3 Show/Hide More Howell Jackson, The Resolution of Distressed Financial Conglomerates
        Use with Section III. The Orderly Liquidation Authority, beginning on page 924.
      4. 9.3.5 Show/Hide More Making Failure Feasible (Hoover Institute 2015), Kenneth E. Scott, Thomas H. Jackson, & John B. Taylor, eds.
        Use with Section VI. Ongoing Policy Debates and Proposals for Reform, beginning on page 936.
      5. 9.3.6 Show/Hide More The Financial CHOICE Act, H.R. 10 Title I, Subtitle A — Repeal of the Orderly Liquidation Authority
        Use with Section VI. Ongoing Policy Debates and Proposals for Reform, beginning on page 936.
      6. 9.3.7 Show/Hide More American Banker, Michael S. Barr, Eliminating OLA is careless and shortsighted (May 11, 2017)
        Use with Section VI. Ongoing Policy Debates and Proposals for Reform, beginning on page 936.
      7. 9.3.8 Show/Hide More Brookings Institution, Ben S. Bernanke, Why Dodd-Frank's Orderly Liquidation Authority Should Be Preserved (Feb. 28, 2017)
        Use with Section VI. Ongoing Policy Debates and Proposals for Reform, beginning on page 936.
      8. 9.3.9 Show/Hide More Financial Scholars Oppose Eliminating "Orderly Liquidation Authority" As Crisis-Avoidance Restructuring Backstop (May 23, 2017)
        Use with Section VI. Ongoing Policy Debates and Proposals for Reform, beginning on page 936.
      9. 9.3.10 Show/Hide More WSJ Pro, Daniel K. Tarullo, Keep Orderly Liquidation Authority (May 10, 2017)
        Use with Section VI. Ongoing Policy Debates and Proposals for Reform, beginning on page 936.
    4. 9.4 Show/Hide More Experiential Learning Materials for Part IX
      Original Creator: Financial Regulation: Law and Policy
      Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part IX
    1. 10.1 Show/Hide More Introduction to Asset Management and Its Regulation
      Original Creator: Financial Regulation: Law and Policy
      No materials are yet posted in this folder.
    2. 10.3 Show/Hide More Mutual Funds: Disclosure and Its Limitations
      Original Creator: Financial Regulation: Law and Policy
      No materials are yet posted in this folder.
    3. 10.4 Show/Hide More The Regulation of Hedge Funds and Other Private Funds
      Original Creator: Financial Regulation: Law and Policy
      No materials are yet posted in this folder.
    4. 10.5 Show/Hide More Experiential Learning Materials for Part X*
      Original Creator: Financial Regulation: Law and Policy
      Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part X
    1. 11.1 Show/Hide More Overview of Derivatives *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 11.1.
      1. 11.1.1 Show/Hide More Jackson on Substituted Compliance (2015)
        Use with Section IV.C. A Coordinated International Response, beginning on page 1079.
      2. 11.1.2 Show/Hide More Timothy Massad Speech Before the Economic Club of New York (Dec. 2016)
        Use with Section IV.C. A Coordinated International Response, beginning on page 1079.
    2. 11.2 Show/Hide More Derivatives: Market Infrastructure
      Original Creator: Financial Regulation: Law and Policy
      No materials are yet posted in this folder.
    3. 11.3 Show/Hide More Derivatives: Business Conduct and Market Integrity *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 11.3.
      1. 11.3.1 Show/Hide More NY Fed Alternative Reference Rates Committee Press Release (June 22, 2017)
        Use with Section III. A. London Interbank Offered Rate Manipulation, beginning on page 1118.
      2. 11.3.2 Show/Hide More NY Fed Alternative Reference Rates Committee Interim Report and Consultation (May 2016)
        Use with Section III. A. London Interbank Offered Rate Manipulation, beginning on page 1118.
      3. 11.3.3 Show/Hide More NY Fed Staff Report, LIBOR: Origins, Economics, Crisis, Scandal, and Reform (March 2014)
        Use with Section III. A. London Interbank Offered Rate Manipulation, beginning on page 1118.
      4. 11.3.4 Show/Hide More 2nd Circuit Decision on Anti-Trust Case (LIBOR) (May 2016)
        Use with Section III.A. London Interbank Offered Rate Manipulation, beginning on page 1118.
    4. 11.4 Show/Hide More Experiential Learning Materials for Part XI
      Original Creator: Financial Regulation: Law and Policy
      Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part XI
    1. 12.1 Show/Hide More Securitization *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 12.1.
      1. 12.1.1 Show/Hide More SIFMA Report on U.S. Securitization Year in Review: 2015 (April 2016)
        Use with Section V Trends in Securitization After the Dodd-Frank Act, beginning on page 1164.
    2. 12.2 Show/Hide More Mortgage Markets and the Government-Sponsored Enterprises *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 12.2.
      1. 12.2.1 Show/Hide More ICBA White Paper, ICBA Principles for GSE Reform and a Way Forward (Apr. 25, 2017)
        Use with Section V. The Future of the GSES: Proposals for Reform, beginning on page 1189.
    3. 12.3 Show/Hide More Money Market Funds
      Original Creator: Financial Regulation: Law and Policy
      No materials are yet posted in this folder.
    4. 12.4 Show/Hide More Short-Term Wholesale Funding *
      Original Creator: Financial Regulation: Law and Policy
      This folder contains supplemental information for Chapter 12.4.
      1. 12.4.1 Show/Hide More Daniel Tarullo - Shadow Banking and Systemic Risk Regulation (Nov. 22, 2013)
        Use with Section IV.A. Summary of Reforms Affecting Wholesale Funding Risk, beginning on page 1241.
    5. 12.5 Show/Hide More Experiential Learning Materials for Part XII
      Original Creator: Financial Regulation: Law and Policy
      Within this folder are HLS Experiential Learning Case Studies to be used in connection with Part XII
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July 06, 2017

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