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  • John C. Coffee, Jr. – Boeing and the Future of Deferred Prosecution Agreements By John C. Coffee, Jr.
  • Leveraging Information Forcing in Good Faith By Hillary Sale
  • The Dark Side of Safe Harbors Comment bubble 2 By Susan C. Morse
  • John C. Coffee, Jr. – Mass Torts and Corporate Strategies: What Will the Courts Allow? By John C. Coffee, Jr.
  • Compliance’s Next Challenge: Polarization By Miriam H. Baer
  • Will the Common Good Guys Come to the Shootout in SEC v. Jarkesy? And Why It Matters By Eric W. Orts
  • Climate Disclosure Line-Drawing and Securities Regulation By Virginia Harper Ho
  • Board Committee Charters and ESG Accountability By Lisa M. Fairfax
Editor-At-Large Reynolds Holding

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Columbia Law School's Blog on Corporations and the Capital Markets

Editorial Board John C. Coffee, Jr. Edward F. Greene Kathryn Judge

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financial regulation

Does Readability of Financial Disclosures Affect the Bond Market?

By Samuel Bonsall and Brian Miller December 6, 2016 by renholding

Going back as far as the Securities Act of 1933, the Securities and Exchange Commission has taken action to improve the readability and understandability of financial data. In 1969, a report commissioned by the SEC, the Wheat Report, indicated that …

1 Comment  

Understanding Runs in the Shadow Banking System

By Kathryn Judge December 5, 2016 by renholding

There are two established explanations for bank runs: coordination problems among depositors and information asymmetries between bank managers and depositors.  In a new paper, “Information Gaps and Shadow Banking,” forthcoming in the Virginia Law Review and available here, I …

2 Comments  

An Efficient Investment-Risk Model of Compliance

By Robert Bird and Stephen Park November 30, 2016 by renholding

Corporate compliance — the internal processes that firms use to ensure that their employees do not violate applicable laws and regulations — has become big business. Regulation of business continues to grow, punctuated by landmark laws that have re-shaped the …

Mutual Funds and the Regulatory Capture of the SEC

By Stewart L. Brown November 29, 2016 by renholding

Regulatory agencies are created to act in the public interest but often end up acting in the interests of those regulated. This is known as regulatory capture. The theory of regulatory capture may be given both a broad and narrow …

Quacks or Bootleggers: Who’s Behind Hedge Fund Regulation?

By Jeremy Kidd November 23, 2016 by renholding

Attempts by U.S. federal officials to regulate corporate governance have been criticized by prominent scholars as “quackery.”[1] Major reforms like Sarbanes-Oxley and Dodd-Frank may in fact do far more harm than good. But what if these efforts at healing …

SEC Chair White Offers a New Model for Enforcement

By Mary Jo White November 21, 2016 by renholding

Good morning and thank you, Dean (Trevor) Morrison (of New York University Law School) for that very kind introduction. It is a pleasure to be here today and I want to thank the NYU Program on Corporate Compliance and Enforcement

…

SEC Investor Advocate Talks Dodd-Frank and Regulation’s Future

By Rick A. Fleming November 17, 2016 by renholding

Today (November 16), we will consider the future of financial regulation and, more specifically, whether the Dodd-Frank Act went too far.[1].  I am I happy to share my views with you, but before I begin, I must give

…

SEC Announces Chair Mary Jo White’s Departure Plans

By Securities and Exchange Commission November 15, 2016 by renholding

Securities and Exchange Commission Chair Mary Jo White, after nearly four years as the agency’s head, today announced that she intends to leave at the end of the Obama Administration.  Under Chair White’s leadership, the Commission strengthened protections for investors …

What Is a Personal Benefit for a Tipping Violation?

By Andrew Vollmer November 11, 2016 by renholding

The financial services industry is watching the Supreme Court closely in anticipation of a decision in Salman v. United States,[1] which will be the Court’s first insider trading case since United States v. O’Hagan in 1997.[2]  Salman…

Gibson Dunn Discusses Legal Implications of Expanded Use of Blockchain Technology

By Judith Alison Lee, Jeff Steiner and Dustin McKenzie November 7, 2016 by Jeff Himelson

The use of digital currencies, like Bitcoin, is becoming widespread. To date, much of the focus on digital currencies has been directed at their potential to substitute for or complement fiat currencies, but the true innovation lies in their underlying …

1 Comment  

Commissioner Kara Stein Offers a Vision for Data at the SEC

By Kara M. Stein November 3, 2016 by renholding

Thank you, Michael [Barr], for that kind introduction.  Thank you also to the University of Michigan and the Office of Financial Research for organizing this important conference.  I am pleased to be here with you today.  This conference is a …

The True Potential of RegTech: Fostering Systemic Financial Stability

By Janos Nathan Barberis and Ross P. Buckley November 1, 2016 by renholding

Two major challenges have arisen for financial services companies since the global financial crisis (GFC) of 2008.  On the expense side, post-crisis fines have exceeded $200 billion, and the ongoing cost of regulation and compliance has become massive.  On the …

Morrison & Foerster explains why CFPB Makes FinTech Headlines

By Obrea O. Poindexter, Jeremy R. Mandell and Calvin D. Funk November 1, 2016 by renholding

The Consumer Financial Protection Bureau (the “CFPB” or “Bureau”) made headlines in FinTech on October 24, 2016. First, the Bureau released its first-ever Project Catalyst report on promoting consumer-friendly innovation (the “Report”). The Report summarizes the work conducted by Project …

Too Big to Fool: Moral Hazard, Bailouts, and Corporate Responsibility

By Steven L. Schwarcz October 31, 2016 by renholding

There is an increasing worldwide focus on trying to end the problem of “too big to fail” (“TBTF”). Regulators are concerned that systemically important financial firms might engage in excessive risk-taking because they would profit from a success and be …

Sullivan & Cromwell Discusses Enhanced Cyber Risk Management Standards In The Financial Sector

By John Evangelakos and Josh Steinberger October 31, 2016 by Jeff Himelson

On October 19, 2016, the Board of Governors of the Federal Reserve System (“the Board”), the Office of the Comptroller of the Currency (“the OCC”), and the Federal Deposit Insurance Corporation (“the FDIC”, and the three agencies collectively, “the Agencies”) …

The Legal Framework of Mobile Payments: Gaps, Ambiguities, and Overlap

By Mark E. Budnitz October 26, 2016 by renholding

In a September 22, 2016, post on this blog, available here, Professor Wulf Kaal asked in the title to his piece, “What Happens When Technology Is Faster Than the Law?”  He noted that while “innovation driven by science and …

Breaking Up (Banks) Is Hard to Do

By Alan M. White October 25, 2016 by renholding

The latest Wells Fargo bank scandal has rekindled debates about breaking up banks that are too big to fail, too big to manage or too big to comply.

Echoing the debate between Louis Brandeis and Teddy Roosevelt in the Progressive …

SEC Settlements After Dodd-Frank

By Urska Velikonja October 18, 2016 by renholding

On September 23, U.S. District Judge William Pauley refused to approve a settlement between the CFTC and Deutsche Bank covering the bank’s failure to report swaps properly. Instead of rubber-stamping the settlement, the judge asked the parties for additional briefing. …

Challenging the Financial Intermediation Myth

By Robert C. Hockett and Saule Omarova October 17, 2016 by renholding

Many contemporary discussions of finance or of subjects that implicate finance – for example, federal budgetary or finance-regulatory policy – seem to be systematically colored by a seldom-examined presumption. We call this presumption the “intermediated scarce private capital myth.”

Like …

SEC Announces Enforcement Results for 2016

By Securities and Exchange Commission October 13, 2016 by renholding

The Securities and Exchange Commission announced on October 11 that, in fiscal year 2016, it filed 868 enforcement actions exposing financial reporting-related misconduct by companies and their executives and misconduct by registrants and gatekeepers, as the agency continued to enhance …

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EA Buyout Talk Highlights Gaming Fall
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SEC Case Tests Private Fund Managers
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Microsoft, OpenAI to Extend Partnership
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Cross-Border Task Force to Fight Fraud
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Nasdaq Proposes SPAC-Listing Change
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September 7, 2025
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Tesla Surprises With Musk-Pay Proxy
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