Publications and Working Papers | Albany Law School
  • About
    • Overview
    • ABA Required Disclosures
    • Administration
    • Board of Trustees
    • Campus Policies and Notices
    • Employment
    • Events
    • Fact Sheet
    • General Directory
    • History
    • News
    • Our Affiliation with UAlbany
    • President and Dean Ouellette
    • Staff Directory
    • Strategic Plan
  • Admissions
    • Overview
    • J.D. Admissions
    • Graduate Admissions
    • Special Programs
    • Accepted Students
    • Check Application Status
    • Connect with Admissions
    • Make A Deposit
    • Financial Aid
    • Office of Admissions
  • Academics
    • Overview
    • Courses
    • Areas of Study
    • JD Program
    • Graduate Programs
    • Special Programs
    • Pathways Program
    • Experiential Learning
    • Learning Outcomes
    • Registrar
    • Academic Resources
    • Academic Partnerships
  • Careers
    • Overview
    • Students
    • Employers
    • Alumni
    • Connect to AlbanyLaw Link
    • Employment Outcomes
    • Where Our Graduates Work
    • Career and Professional Development Center
    • Contact the Career and Professional Development Center
    • Women's Leadership Initiative
  • Student Life
    • Overview
    • Campus Resources
    • Commencement
    • Diversity & Inclusion
    • Health and Wellness
    • Living and Learning in Albany
    • Student Organizations
    • Student Spotlight
    • Veteran Services
  • Centers
    • Overview
    • The Justice Center
    • Government Law Center
    • Center for Excellence in Law Teaching
    • Cybersecurity and Privacy Law Center
    • Center for Judicial Process
    • Institute for Financial Market Regulation
    • Center for Continuing Legal Education
  • Faculty
    • Overview
    • Faculty Directory
    • Faculty Achievements
    • Faculty Scholarship and Research
    • Faculty Spotlight
    • Endowed and Distinguished Professorships
  • Alumni & Giving
    • Overview
    • Upcoming Events
    • Giving
    • Search Directories
    • Regional Alumni Network
    • National Alumni Association
    • Reunion
    • Class Notes
    • Volunteer and Mentor
    • Shared Interest Groups
    • Kate Stoneman
    • Institutional Advancement Team
Turn on more accessible mode
Turn off more accessible mode

COVID-19: Community Updates and Resources

Albany Law School

Calendar
|
Portal
|
Contact Us
|
gift box Giving
Calendar
Giving
Contact Us
Alba
ny
Law School
Back
Sign In
This area will be filled in by content you create in your page layouts.
Skip Navigation LinksHome|Centers|Institute for Financial Market Regulation|Publications and Working Papers

Publications and Working Papers

This area will be filled in by content you create in your page layouts.
  • Menu
    • Publications and Working PapersCurrently selected
      • Recent
ContentImg01_250w
MainContent
  • David McCaffrey, “Private and Public Controls in the Over-the-Counter Derivatives Market, 1984-2015,” Working Paper, August 25, 2015 (http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2642216)
     
  • Christine Sgarlata Chung, "Municipal Bankruptcy, Essential Municipal Services, and Taxpayers’ Voice" Widener Law Journal, Volume 24, Issue 1, 2015, pp 44-79. Download a pdf version
     
  • Ola Bengtsson, Na Dai, and Clifford Henson, "SEC Enforcement in the PIPE Market: Actions and Consequences." Forthcoming, Journal of Banking and Finance. Download a pdf version.
     
  • David Ornstil, Hany A. Shawky, and David M. Smith, “Is the SEC Registration Status of Hedge Fund Advisers Associated with Superior Performance?” Journal of Alternative Investments, Spring, 2006, pp. 55-61. Download a pdf version.
     
  • Ignacio J. Martinez-Moyano, David P. McCaffrey, and Rogelio Oliva, “Drift and Adjustment in Organizational Rule Compliance: Explaining the ‘Regulatory Pendulum’ in Financial Markets.” Organization Science, 25(2): 321-338 (March-April 2014) http://pubsonline.informs.org/doi/abs/10.1287/orsc.2013.0847.
     
  • Christine Sgarlata Chung, "Municipal Securities: The Crisis of State and Local Government Indebtedness, Systemic Costs of Low Default Rates, and Opportunities for Reform." Cardozo Law Review, April 2013, pp. 1455-1538.
    Available at http://www.cardozolawreview.com/content/34-4/CHUNG.34.4.pdf
     
  • Djoko Sigit Sayogo, Theresa Pardo, and Peter Bloniarz, Information Sharing and Financial Market Regulation: Understanding the Capability Gap
    6th International Conference on Theory and Practice of Electronic Governance (ICEGOV2012) , October 22-25, 2012, Available at http://www.ctg.albany.edu/publications/journals/icegov_2012_ifmr
     
  • Theresa Pardo, Djoko Sigit Sayogo, and Donna Canestraro, Computing and Information Technology Challenges for 21st Century Financial Market Regulators
    Proceedings of IFIP International Federation for Information Processing 2011 , September 12-16, 2011, Available at http://www.ctg.albany.edu/publications/journals/IFIP_2011_ifmr
     
  • David McCaffrey, “Regulatory Issues in Institutional Investment Management,” Chapter 2 in Hany A. Shawky and David M. Smith (editors), Institutional Money Management: An Inside Look at the Strategies, Players, and Practices (New York: John Wiley & Sons, 2011), pp. 13-33. Download a PDF version. 
     
  • David P. McCaffrey, "Review of the Policy Debate Over Short Sale Regulation During the Market Crisis." Albany Law Review, 73(2): 483-519 (April 2010). Download a PDF version.
     
  • Christine Sgarlata Chung, "From Lily Bart to the Boom-Boom Room: How Wall Street's Social and Cultural Response to Women Has Shaped Securities Regulation." Harvard Journal of Law and Gender, 33(1): 175-245 (Winter 2010). Download a PDF version.
     
  • Christine Sgarlata Chung and David P. McCaffrey, "Summaries of Selected Reports and Commentaries on Regulatory Reform and Financial Institutions." Prepared for the Congressional Oversight Panel for the Troubled Asset Relief Program (TARP), January 28, 2009.
     
    • Part I: Document Overview and Full Written Summaries of Selected Reports and Commentaries. Download a PDF version
    • Part II: Summaries in Template Form of Selected Reports and Commentaries. Download a PDF version
       
  • Gerard S. Citera, “Broker-Dealer Supervision: A New Paradigm.” Insights: The Corporate & Securities Law Advisor, 21(7): 15-23 (July 2007). Download a PDF version
     
  • David P. McCaffrey, Amy E. Smith, and Ignacio Martinez-Moyano, “Then Let’s Have a Dialogue: Interdependence and Negotiation in a Cohesive Regulatory System.” Journal of Public Administration Research and Theory, 17(2): 307-334 (April 2007). Download a PDF version
     
  • Sue Faerman, David P. McCaffrey, and David Van Slyke, “Understanding Interorganizational Cooperation: Public-Private Collaboration in Regulating Financial Market Innovation,” Organization Science, 12(3): 372-388 (May-June 2001). Download a PDF version
     
  • David P. McCaffrey and David W. Hart, Wall Street Polices Itself: How Securities Firms Manage The Legal Hazards Of Competitive Pressures (New York: Oxford University Press, 1998). Click here for information
     
  • David McCaffrey and Sue Faerman, "Shared Regulation in the United States Securities Industry,"  Administration and Society, 26(2): 204-235 (August, 1994).  Download a PDF version
ContentImg02_250w
MainContent02
ContentImg03_250w
MainContent03
ContentImg04_250w
MainContent04
This area will be filled in by content you create in your page layouts.

Albany Law School Building Logo

Albany Law School

Better Opportunities. Bigger Impact.
80 New Scotland Avenue
Albany, NY 12208-3494
PHONE: 518-445-2311
  • Consumer Information (ABA Required Disclosures)
  • Events
  • Employment
  • News
  • Fact Sheet
  • Law Library
  • Faculty Directory
  • General Directory
  • Staff Directory
© Albany Law School | Site Map | Campus Policies | Privacy Policy | Contact Us