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7 Jan 2019, 9:01 pm by Tamar Frankel
Recently, regulators in New Jersey have focused on the broker-dealer’s duties to possible investors, whom broker-dealers approach with proposed securities’ purchases, sales, and trades. [read post]
30 Nov 2018, 7:00 am by Doug Cornelius
Get yours before they sell out, I got mine…”[More…] The Whistleblowers by Tamar Frankel in Verdict A whistleblower may face conflicted commitments and loyalties. [read post]
25 Nov 2018, 9:01 pm by Tamar Frankel
A whistleblower is an employee or a person who has ongoing relationships with an institution, and who points to the institution’s wrongful activities. [read post]
12 Nov 2018, 4:01 pm by Sabrina I. Pacifici
Frankel, Tamar, The Law Officer (LO) and Compliance Officer (CO): Status, Function, Liabilities, and Relationship (October 19, 2018). [read post]
9 Nov 2018, 7:00 am by Doug Cornelius
by Jeff Kaplan in Conflict of Interest Blog In a paper recently published by Boston University School of Law – The Law Office (LO) and Compliance Officer (CO): Status, Function, Liabilities, and Relationship  – Emerita Professor Tamar Frankel of that school quotes a former SEC official (John Walsh, then Chief Counsel, Office of Compliance Inspections and Examinations) as noting the following: [C]ompliance officers have the characteristics of entrepreneurs. [read post]
9 Nov 2018, 6:03 am
, Proxy access, Proxy advisors, SEC, Securities regulation, Shareholder voting, Stewardship Petition to NYSE on Multiclass Sunset Provisions Posted by Ken Bertsch, Amy Borrus, and Jeff Mahoney, Council of Institutional Investors, on Friday, November 2, 2018 Tags: BlackRock, CalPERS, Council of Institutional Investors, Dual-class stock, Institutional Investors, IPOs, Listing standards, NASDAQ, NYSE, Pension… [read post]
3 Nov 2018, 7:26 am
Posted by Tamar Frankel (Boston University), on Saturday, November 3, 2018 Editor's Note: Tamar Frankel is Professor of Law Emerita Boston University School of Law. [read post]
18 Oct 2018, 9:00 pm by Tamar Frankel and Sezgi G. Fuechec
Senator Elizabeth Warren recently proposed a federal statute vesting in corporate employees voting rights to select corporate board members. [read post]
14 Sep 2018, 6:12 am
Rupert Russell, Shartsis Friese LLP, on Sunday, September 9, 2018 Tags: Compensation disclosure, Contracts, Corporate forms, Debt contracts, Disclosure, Executive Compensation, Financial reporting, Form 8-K, Mergers & acquisitions, Ownership, Related party transactions, SEC, Securities regulation The Rise of Fiduciary Law Posted by Tamar Frankel (Boston University), on Monday, September 10, 2018 … [read post]
10 Sep 2018, 6:19 am
Posted by Tamar Frankel (Boston University), on Monday, September 10, 2018 Editor's Note: Tamar Frankel is Professor of Law Emerita Boston University School of Law. [read post]
17 Jun 2018, 9:01 pm by Tamar Frankel
The first column, dealing with the duties of broker dealers, set the stage for defining fiduciaries and the rationale for their duties. [read post]
30 Apr 2018, 9:01 pm by Tamar Frankel
IntroductionThe proverb “trust but verify” was used by President Ronald Reagan when he met with Russia’s President Gorbachev. [read post]
13 Mar 2018, 9:01 pm by Tamar Frankel
Tamar Frankel is a professor of law at Boston University School of Law. [read post]
20 Dec 2017, 9:01 pm by Tamar Frankel
The purpose of this note is to raise questions regarding the movement towards electronic money, and its possible impact on the enforcement of the law. [read post]
17 Dec 2017, 9:46 am by Tracy Thomas
WSJ, The 92-Year-Old Woman Who is Still Shaking up Wall Street: Law Professor Tamar Frankel is Considered the Intellectual Godmother of the Fiduciary Rule Ms. [read post]
In the Wall Street Journal, there is a recent, wonderful profile of Boston University Law Professor Tamar Frankel, who has been fighting the good fight to gain adoption of "The Fiduciary Rule" for financial advisors, investment brokers and others in... [read post]
9 Nov 2017, 9:01 pm by Tamar Frankel
Tamar Frankel is a professor of law at Boston University School of Law. [read post]
22 Oct 2017, 9:01 pm by Tamar Frankel
The design of an institutional compliance plan, its form and ways of enforcement, may affect, if not determine, the honest behavior of its employees. [read post]
26 Sep 2017, 9:01 pm by Tamar Frankel
The following is a short description of robo-advisers and the issues they raise. [read post]
3 Jul 2017, 7:00 am by joanheminway
The Section on Women in Legal Education (WILE) of the Association of American Law Schools (AALS) recently announced that our business law colleague from Boston University, Tamar Frankel, is this year's recipient of the Ruth Bader Ginsburg Lifetime Achievement Award.... [read post]