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MAKE ALL NOTES PUBLIC (0/13 playlist item notes are public) MAKE ALL NOTES PRIVATE (13/13 playlist item notes are private)0 | Show/Hide More | Overview: Online Resources and Authors' Biographies |
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.
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) |
0.3 | Show/Hide More | Memo on HLS Case Studies in Financial Regulation with Appendix |
0.4 | Show/Hide More | Online Supplement Index (as of Oct. 9, 2017) |
1 | Show/Hide More | Part I. Introduction to Financial Regulation |
1.1 | Show/Hide More | Finance Today * |
1.1.1 | Show/Hide More | Douglas J. Elliott, Implications of the Trump Administration for Financial Regulation (Jan. 16, 2017) |
1.1.2 | Show/Hide More | Deutsche Bank Chartbook on U.S. Banks (Mar. 2017) |
1.1.3 | Show/Hide More | 2016 FSOC Annual Report |
1.1.4 | Show/Hide More | Thomas Curry, "The Banking Revolution: Innovation, Regulation & Consumer Choice" (Nov. 3, 2016) |
1.1.5 | Show/Hide More | FDIC Report on Commercial Banking, First Quarter 2017 |
1.1.6 | Show/Hide More | Selected Postings on Financial Regulatory Reform Under the Trump Administration |
1.2 | Show/Hide More | The History of U.S. Financial Regulation: A Thematic Overview * |
1.2.1 | Show/Hide More | Daniel K. Tarullo, "Departing Thoughts" (Apr. 4, 2017) |
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) |
1.2.3 | Show/Hide More | Executive Order on Reducing Regulation and Controlling Regulatory Costs (Jan. 30, 2017) |
1.2.4 | Show/Hide More | Executive Order on Core Principles for Regulating the United States Financial System (Feb. 3, 2017) |
1.2.5 | Show/Hide More | Executive Order on Enforcing the Regulatory Reform Agenda (Feb. 24, 2017) |
1.2.6 | Show/Hide More | Executive Order on a Comprehensive Plan for Reorganizing the Executive Branch (Mar. 13, 2017) |
1.2.7 | Show/Hide More | Presidential Memorandum for the Secretary of the Treasury - Orderly Liquidation Authority (Apr. 21, 2017) |
1.2.8 | Show/Hide More | Presidential Memorandum for the Secretary of the Treasury - Financial Stability Oversight Council (Apr. 21, 2017) |
1.2.9 | Show/Hide More | Paul Mahoney, Deregulation and the Subprime Crisis (Apr. 2017) |
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.
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) |
1.2.12 | Show/Hide More | Davis Polk, Financial CHOICE Act 2.0 Passes House Financial Services Committee (May 8, 2017) |
1.2.13 | Show/Hide More | Michael S. Barr, Testimony Before the United States House Committee on Financial Services Hearing on the Financial CHOICE Act of 2017 (Apr. 26, 2017) |
1.3 | Show/Hide More | Regulatory Frameworks * |
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.
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.
1.3.3 | Show/Hide More | Elizabeth Brown, Prior Proposals to Consolidate Federal Financial Regulators (Apr. 20, 2015) |
1.3.4 | Show/Hide More | SIFMA White Paper: Rebalancing the Financial Regulatory Landscape (May 1, 2017) |
1.3.5 | Show/Hide More | PHH v. CFPB Litigation Material |
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.
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.
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.
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.
1.4 | Show/Hide More | The Regulatory Perimeter * |
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.
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.
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.
1.5 | Show/Hide More | A Tour of the Balance Sheet |
1.6 | Show/Hide More | Experiential Learning Materials for Part I * |
2 | Show/Hide More | Part II. Insured Depository Institutions |
2.1 | Show/Hide More | The Impact of Charter Choice * |
2.1.1 | Show/Hide More | Supporting Responsible Innovation in the Federal Banking System: An OCC Perspective (March 2016) |
2.1.2 | Show/Hide More | Comptroller’s Licensing Manual Draft Supplement: Evaluating Charter Applications From Financial Technology Companies (Mar. 2017) |
2.1.3 | Show/Hide More | FCA Regulatory Sandbox Announcement |
2.1.4 | Show/Hide More | Davis Polk Memo - Beyond FinTech: The OCC's Special Purpose National Bank Charter (December 2016) |
2.1.5 | Show/Hide More | Sullivan & Cromwell Memo - Office of the Comptroller of the Currency Proposal to Charter Special National Banks for FinTech Companies (Dec. 2016) |
2.1.6 | Show/Hide More | CSBS v. OCC Complaint (Apr. 2017) |
2.1.7 | Show/Hide More | DFS v. OCC Complaint (May 2017) |
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.
2.1.9 | Show/Hide More | The Fourth Corner Credit Union v. Federal Reserve Bank of Kansas City Appeal and Opinion 16-1016 (June 27, 2017) |
2.1.10 | Show/Hide More | CGAP Blog Post – Did India’s Central Bank get Payments Bank Approvals Right? (Aug.27, 2015) |
2.2 | Show/Hide More | Activities Restrictions and the Business of Banking * |
2.2.1 | Show/Hide More | Alan White, Banks as Utilities (Jan. 2016) |
2.3 | Show/Hide More | Portfolio Diversification and Restrictions on Transactions with Affiliates * |
2.3.1 | Show/Hide More | Sullivan & Cromwell Memo - Single Counterparty Credit Limits (Mar. 2016) |
2.3.2 | Show/Hide More | Davis Polk Visual Memo - Single-Counterparty Credit Limits Proposed Rule (Mar. 2016) |
2.4 | Show/Hide More | Bank Deposits * |
2.4.1 | Show/Hide More | GAO Report on Reserve Requirements (Oct. 2016) |
2.5 | Show/Hide More | Capital Regulation: An Introduction * |
2.5.1 | Show/Hide More | Under Pressure: The Shifting Landscape of Banking Regulations (May 22, 2017) |
2.5.2 | Show/Hide More | Charles A.E. Goodhart, In Praise of Stress Tests (2016) |
2.5.3 | Show/Hide More | Davis Polk Visual Summary of 2017 CCAR and DFAST Results |
2.6 | Show/Hide More | Capital Regulation: Pre-Financial Crisis to Basel II |
2.7 | Show/Hide More | Capital Regulation: Basel III and Beyond * |
2.7.1 | Show/Hide More | Davis Polk Deck – Implementation of Basel III for U.S. GSIBs (Apr. 17, 2015) |
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.
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.
2.7.4 | Show/Hide More | Daniel K. Tarullo Speech, "Next Steps in the Evolution of Stress Testing" (Sep. 26, 2016) |
2.8 | Show/Hide More | Experiential Learning Materials for Part II * |
2.8.5 | Show/Hide More | HBS First National Bank Corporation Case |
3 | Show/Hide More | Part III. Insurance |
3.1 | Show/Hide More | Introduction to Insurance Regulation * |
3.1.1 | Show/Hide More | Edited Excerpt on Executive Life Failure and its Aftermath from Howell E. Jackson & Edward L. Symonds, Jr., Regulation of Financial Institutions 479-506 (West 1999) |
3.1.2 | Show/Hide More | Edited Excerpt on Mutual Form from Howell E. Jackson & Edward L. Symonds, Jr., Regulation of Financial Institutions 551-78 (West 1999) |
3.2 | Show/Hide More | The Protection of Consumers in Insurance Regulation * |
3.2.1 | Show/Hide More | Dan Schwartz, Coverage Information in Insurance Law (2016) |
3.3 | Show/Hide More | The Expanding Federal Role in Insurance Regulation * |
3.3.1 | Show/Hide More | Federal Reserve ANPR, Capital Requirements for Supervised Institutions Significantly Engaged in Insurance Activities (Jun. 14, 2016) |
3.4 | Show/Hide More | Experiential Learning Materials for Part III* |
4 | Show/Hide More | Part IV. Securities Firms and Capital Markets |
4.1 | Show/Hide More | Introduction to the Regulation of Securities Firms |
4.2 | Show/Hide More | Securities Firms and the Retail Investor * |
4.2.1 | Show/Hide More | DOL Factsheet on Final Fiduciary Rule (April 2016) |
4.2.2 | Show/Hide More | Morgan Lewis Memo - The 2016 Election and the Future of the Department of Labor Fiduciary Rule (November 2016) |
4.2.3 | Show/Hide More | U.S. Chamber of Commerce, Comment Letter on Definition of the Term "Fiduciary" (Apr. 17, 2017) |
4.2.4 | Show/Hide More | John Oliver "Last Week Tonight" Clip - Securities Firms |
4.2.5 | Show/Hide More | Financial Planning Coalition, Comment Letter on Definition of the Term "Fiduciary" |
4.2.6 | Show/Hide More | SIFMA AMG, Comment Letter on Definition of the Term "Fiduciary" (Apr. 2017) |
4.2.7 | Show/Hide More | DOL Chart Illustrating Changes from Department of Labor's 2015 Conflict of Interest from Proposal to Final |
4.2.8 | Show/Hide More | Dechert, Tax Management Compensation Planning Journal, Navigating the DOL's New Fiduciary Rules: A Game Plan for Broker-Dealers (Jan. 2017) |
4.2.9 | Show/Hide More | Davis Polk Visual Memo, The Department of Labor’s New Fiduciary Regulation and Its Impact on the Financial Services Industry (June 2016) |
4.2.10 | Show/Hide More | Presidential Memorandum on Fiduciary Duty Rule (Feb. 3, 2017) |
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.
4.3 | Show/Hide More | Securities Firms in Corporate Transactions* |
4.4 | Show/Hide More | Exchanges and Trading * |
4.4.1 | Show/Hide More | Michael Wellman & Elaine Wah, Latency Arbitrage, Market Fragmentation, and Efficiency: A Two-Market Model (2013) |
4.4.2 | Show/Hide More | Michael Morelli, Regulating Secondary Markets in the High Frequency Age (May 2016) |
4.5 | Show/Hide More | Experiential Learning Materials for Part IV* |
5 | Show/Hide More | Part V. Consumer Protection and the CFPB |
5.1 | Show/Hide More | The Consumer Financial Protection Bureau * |
5.1.1 | Show/Hide More | CFPB Press Release on Mandatory Arbitration Clauses (May 2016) |
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.
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.
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.
5.1.5 | Show/Hide More | The Financial CHOICE Act, Title VII, Section 711 – Consumer Law Enforcement Agency |
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.
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.
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.
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.
5.1.10 | Show/Hide More | D.C. Circuit PHH v. CFPB Opinion (Oct. 11, 2016) |
5.1.11 | Show/Hide More | Stephen J. Choi & Adam C. Pritchard, The SEC's Shift to Administrative Proceedings: An Empirical Assessment (Feb. 2016) |
5.2 | Show/Hide More | Mortgages |
5.3 | Show/Hide More | Consumer Financial Products and Services * |
5.3.1 | Show/Hide More | CFPB Press Release on Payday Lending Proposal (June 2016) |
5.3.2 | Show/Hide More | GAO Report, Improvements to Program Design Could Better Assist Older Student Loan Borrowers with Obtaining Permitted Relief (Dec. 2016) |
5.3.3 | Show/Hide More | Chris Smart, The Financial Education of the Eurozone (Jan. 2017) |
5.3.4 | Show/Hide More | Chris Smart, Regulating the Data that Drive 21st-Century Economic Growth (June 2017) |
5.4 | Show/Hide More | Comparing Consumer Protection Models Across Sectors |
5.4.1 | Show/Hide More | Chris Smart, The Financial Education of the Eurozone (Jan. 2017) |
5.5 | Show/Hide More | Experiential Learning Materials for Part V * |
6 | Show/Hide More | Part VI. Financial Conglomerates |
6.1 | Show/Hide More | Regulation of Holding Companies * |
6.1.1 | Show/Hide More | Davis Polk Memo – The Federal Banking Agencies' Report on Activities and Investments of Banks and Nonbank Affiliates (Sep. 9, 2016) |
6.1.2 | Show/Hide More | Fed, FDIC, and OCC Report on Section 620 of the Dodd-Frank Act (Sep. 2016) |
6.1.3 | Show/Hide More | Thomas Hoenig, "A Market-Based Proposal for Regulatory Relief and Accountability" (Mar. 2017) |
6.1.4 | Show/Hide More | Steven Mnuchin, Testimony at Senate Banking Committee Hearing on Domestic and International Policy Update (May 18, 2017) |
6.2 | Show/Hide More | Systemically Important Financial Institutions * |
6.2.1 | Show/Hide More | MetLife v. FSOC Litigation Material |
6.2.1.1 | Show/Hide More | MetLife v. FSOC Decision (Mar. 30, 2016) |
6.2.1.2 | Show/Hide More | MetLife v. FSOC Plaintiff Appellate Brief 1 (June 2016) |
6.2.1.3 | Show/Hide More | MetLife Defendant Opening Brief (May 2015) |
6.2.1.4 | Show/Hide More | MetLife v. FSOC Amicus Brief of Current and Former Members of Congress in Support of Defendant (FSOC) |
6.2.1.5 | Show/Hide More | MetLife v. FSOC U.S. Chamber Amicus Brief (June 2015) |
6.2.1.6 | Show/Hide More | MetLife v. FSOC Notice of Appeal (Apr. 8, 2016) |
6.2.1.7 | Show/Hide More | MetLife v. FSOC Jackson Jr., Metzger, Andrias and Barr Amicus Brief (May 2015) |
6.2.1.8 | Show/Hide More | MetLife v. FSOC Barr, Metzger and Jackson Jr. Amicus Brief on Appeal (June 2016) |
6.2.2 | Show/Hide More | GE De-Designation Decision from the FSOC (June 28, 2016) |
6.3 | Show/Hide More | Foreign Banks in the United States and U.S. Banks Abroad * |
6.3.1 | Show/Hide More | Cleary Gottlieb Memo - EU Proposes Intermediate Holding Company Requirements for Non-EU Banks and Broker-Dealers (November 2016) |
6.3.2 | Show/Hide More | Allen & Overy Memo - What Impact Will Brexit Have on Regulated Firms Established in the UK, Europe & Third Country Jurisdictions? (July 2016) |
6.3.3 | Show/Hide More | Freshfields Memo - Giving Brexit a Spin (Sep. 2016) |
6.4 | Show/Hide More | Experiential Learning Materials for Part VI* |
7 | Show/Hide More | Part VII. Payment Systems |
7.1 | Show/Hide More | Introduction to Payment Systems * |
7.1.1 | Show/Hide More | How Will Demonetization Affect Business in India in 2017? (Jan. 5, 2017) |
7.1.2 | Show/Hide More | Peter Sands, The Case for Eliminating High Denomination Notes (Feb. 2016) |
7.2 | Show/Hide More | Examining Critical Issues in Payment Systems * |
7.2.1 | Show/Hide More | Jesner v. Arab Bank Amicus Brief of Financial Regulation Scholars and Former Government Officials (June 2017) |
7.2.2 | Show/Hide More | BPC Blog Post - Why Blockchain Could Bolster Anti-Money Laundering Efforts (June 2, 2016) |
7.3 | Show/Hide More | Experiential Learning Materials for Part VII* |
8 | Show/Hide More | Part VIII. Corporate Governance, Supervision, and Enforcement |
8.1 | Show/Hide More | Corporate Governance * |
8.1.1 | Show/Hide More | NY Fed Releases Report Providing an In-depth Look at Behavioral Risk Management in the Financial Services Industry (Aug. 22, 2016). |
8.1.2 | Show/Hide More | Davis Polk Visual Memo - Incentive Compensation for Financial Institutions: Reproposal (May 12, 2016) |
8.1.3 | Show/Hide More | OCC, Wells Fargo Order on Sales Practices (Sep. 8, 2016) |
8.1.4 | Show/Hide More | Wells Fargo, Independent Directors of the Board Sales Practices Investigation Report (Apr. 10, 2017) |
8.1.5 | Show/Hide More | OCC Report, Lessons Learned Review of Supervision of Sales Practices at Wells Fargo (Apr. 19, 2017) |
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) |
8.1.7 | Show/Hide More | Julie Andersen Hill and Douglas K. Moll, The Duty of Care of Bank Directors and Officers (Apr. 2017) |
8.2 | Show/Hide More | Supervision and Enforcement * |
8.2.1 | Show/Hide More | US EX REL. O'DONNELL v. Countrywide Home Loans Inc. (Court of Appeals) |
8.2.2 | Show/Hide More | Boston Consulting Group, Global Risk 2017: Staying the Course in Banking (Mar. 2, 2017) |
8.2.3 | Show/Hide More | Bandimere v. SEC, No 15-9586 (10 Cir., Dec. 27, 2016) |
8.3 | Show/Hide More | Experiential Learning Materials for Part VIII* |
9 | Show/Hide More | Part IX. Lender of Last Resort and Resolution |
9.1 | Show/Hide More | Lender of Last Resort |
9.2 | Show/Hide More | Traditional Toolkit for Bank Failures * |
9.2.1 | Show/Hide More | DEUTSCHE BANK v. FDIC |
9.2.2 | Show/Hide More | FDIC P&A Agreement on WaMu (Sep. 2008) |
9.3 | Show/Hide More | After the Crisis: From Orderly Liquidation to Bail-In * |
9.3.1 | Show/Hide More | Davis Polk Visual Memo – Federal Reserve's Final Rule on TLAC (Jan. 11, 2017) |
9.3.2 | Show/Hide More | Joint Press Release on Living Wills (Apr. 2016) |
9.3.3 | Show/Hide More | Howell Jackson, The Resolution of Distressed Financial Conglomerates |
9.3.4 | Show/Hide More | David Green et al., A Step Closer to Ending Too-Big-to-Fail: The ISDA 2014 Resolution Stay Protocol and Contractual Recognition of Cross-Border Resolution (Apr. 2015) |
9.3.5 | Show/Hide More | Making Failure Feasible (Hoover Institute 2015), Kenneth E. Scott, Thomas H. Jackson, & John B. Taylor, eds. |
9.3.6 | Show/Hide More | The Financial CHOICE Act, H.R. 10 Title I, Subtitle A — Repeal of the Orderly Liquidation Authority |
9.3.7 | Show/Hide More | American Banker, Michael S. Barr, Eliminating OLA is careless and shortsighted (May 11, 2017) |
9.3.8 | Show/Hide More | Brookings Institution, Ben S. Bernanke, Why Dodd-Frank's Orderly Liquidation Authority Should Be Preserved (Feb. 28, 2017) |
9.3.9 | Show/Hide More | Financial Scholars Oppose Eliminating "Orderly Liquidation Authority" As Crisis-Avoidance Restructuring Backstop (May 23, 2017) |
9.3.10 | Show/Hide More | WSJ Pro, Daniel K. Tarullo, Keep Orderly Liquidation Authority (May 10, 2017) |
9.4 | Show/Hide More | Experiential Learning Materials for Part IX |
10 | Show/Hide More | Part X. Mutual Funds and Other Investment Vehicles |
10.1 | Show/Hide More | Introduction to Asset Management and Its Regulation |
10.2 | Show/Hide More | Mutual Funds: Fiduciary Duties and Structural Restraints |
10.3 | Show/Hide More | Mutual Funds: Disclosure and Its Limitations |
10.4 | Show/Hide More | The Regulation of Hedge Funds and Other Private Funds |
10.5 | Show/Hide More | Experiential Learning Materials for Part X* |
11 | Show/Hide More | Part XI. Derivatives and Rate Markets |
11.1 | Show/Hide More | Overview of Derivatives * |
11.1.1 | Show/Hide More | Jackson on Substituted Compliance (2015) |
11.1.2 | Show/Hide More | Timothy Massad Speech Before the Economic Club of New York (Dec. 2016) |
11.2 | Show/Hide More | Derivatives: Market Infrastructure |
11.3 | Show/Hide More | Derivatives: Business Conduct and Market Integrity * |
11.3.1 | Show/Hide More | NY Fed Alternative Reference Rates Committee Press Release (June 22, 2017) |
11.3.2 | Show/Hide More | NY Fed Alternative Reference Rates Committee Interim Report and Consultation (May 2016) |
11.3.3 | Show/Hide More | NY Fed Staff Report, LIBOR: Origins, Economics, Crisis, Scandal, and Reform (March 2014) |
11.3.4 | Show/Hide More | 2nd Circuit Decision on Anti-Trust Case (LIBOR) (May 2016) |
11.4 | Show/Hide More | Experiential Learning Materials for Part XI |
12 | Show/Hide More | Part XII. Shadow Banking |
12.1 | Show/Hide More | Securitization * |
12.1.1 | Show/Hide More | SIFMA Report on U.S. Securitization Year in Review: 2015 (April 2016) |
12.2 | Show/Hide More | Mortgage Markets and the Government-Sponsored Enterprises * |
12.2.1 | Show/Hide More | ICBA White Paper, ICBA Principles for GSE Reform and a Way Forward (Apr. 25, 2017) |
12.3 | Show/Hide More | Money Market Funds |
12.4 | Show/Hide More | Short-Term Wholesale Funding * |
12.4.1 | Show/Hide More | Daniel Tarullo - Shadow Banking and Systemic Risk Regulation (Nov. 22, 2013) |
12.5 | Show/Hide More | Experiential Learning Materials for Part XII |
June 22, 2018
Financial Regulation: Law and Policy
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