Financial Regulation

The Case for Regulating After Harms Occur

Scholar argues that society is best off when regulators punish violations after the fact.

Regulation of the Chinese Equity Crowdfunding Market

Scholar argues that China should model U.S. and U.K. regulation of online investing.

Structural Reforms to Improve Cost-Benefit Analyses of Financial Regulation

Independent agencies should mirror executive branch practices to overcome judicial scrutiny.

Regulating Automated Financial Advice

Scholars present framework for the regulation of automated advisors in the financial services industry.

Systematic Study Shows Improvement in SEC Economic Analysis

Agency sees increased effectiveness after incorporating feedback from courts and academics.

Treasury Pick’s Oversight of “Robo-Signing” Heats Up Nomination Proceedings

Steven Mnuchin continues to advance in U.S. Senate even as Democrats decry his role during financial crisis.

What if Dodd-Frank is Built on Faulty Assumptions?

Duke Law Professor argues for a new regulatory paradigm.

Agency Signals Separate Regulation of “FinTech” Companies

National financial technology companies will be regulated differently than traditional banks.

Adapting Regulation for the FinTech World

A federal consumer watchdog quietly solved a big problem.

Currency Authority Proposes Ban on Bank Investments in Commercial Metals

U.S. banking regulator seeks to stop banks from trading in metals like copper and aluminum.

Hard Brexit Makes Hard Law for EU Financial Services Regulation

A hard Brexit may require an overhaul of the EU’s rules governing its relationship with non-member states.

New Reporting Requirements Imposed on Treasury Market

In the wake of bizarre market behavior, regulators move to expand disclosure on Treasury trades.