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Introduction

Stephen M. Bainbridge

in Corporate Governance after the Financial Crisis

Published in print:
2012
Published Online:
May 2012
ISBN:
9780199772421
eISBN:
9780199932696
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199772421.003.0001
Subject:
Law, Company and Commercial Law

This introductory chapter begins with a brief review of the events that precipitated the passage of the Public Company Accounting Reform and Investor Protection Act of 2002 (Sarbanes–Oxley) and the ... More


Differentiating Centralization and Overlap in Swap Regulation

Alejandro E. Camacho and Robert L. Glicksman

in Reorganizing Government: A Functional and Dimensional Framework

Published in print:
2019
Published Online:
January 2020
ISBN:
9781479829675
eISBN:
9781479811649
Item type:
chapter
Publisher:
NYU Press
DOI:
10.18574/nyu/9781479829675.003.0007
Subject:
Law, Constitutional and Administrative Law

This chapter explains how legislative changes to, and the broader commentary on, US derivatives regulation illustrate the value of parsing the overlap/distinct and centralization/decentralization ... More


Containing Contagion

Kathleen C. Engel and Patricia A. McCoy

in The Subprime Virus: Reckless Credit, Regulatory Failure, and Next Steps

Published in print:
2011
Published Online:
April 2015
ISBN:
9780195388824
eISBN:
9780190258535
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:osobl/9780195388824.003.0013
Subject:
Business and Management, Political Economy

This chapter first explains how federal government bailouts during the subprime crisis increased the risk for more severe financial crises in the future. The government sent businesses the wrong ... More


The SOX and Dodd-Frank Acts—Modern Federal Corporate Governance Initiatives

Marc I. Steinberg

in The Federalization of Corporate Governance

Published in print:
2018
Published Online:
March 2018
ISBN:
9780199934546
eISBN:
9780199361854
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780199934546.003.0005
Subject:
Law, Company and Commercial Law

In response to several corporate scandals, the Sarbanes-Oxley Act of 2002 (SOX) implemented substantive corporate governance mandates that were adopted as federal law. It focused on restoring ... More


Corporate Governance after the Financial Crisis

Stephen M. Bainbridge

Published in print:
2012
Published Online:
May 2012
ISBN:
9780199772421
eISBN:
9780199932696
Item type:
book
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199772421.001.0001
Subject:
Law, Company and Commercial Law

The years from 2000 to 2010 were bookended by two major economic crises. The bursting of the dotcom bubble and the extended bear market of 2000 to 2002 prompted Congress to pass the Sarbanes–Oxley ... More


Harmonizing the Regulation of Financial Advisers

Arthur B. Laby

in The Market for Retirement Financial Advice

Published in print:
2013
Published Online:
January 2014
ISBN:
9780199683772
eISBN:
9780191763359
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199683772.003.0013
Subject:
Business and Management, Pensions and Pension Management

When buying stocks, bonds, mutual funds, and other securities, individuals seeking advice typically turn to broker-dealers or investment advisers before they invest. In many cases, brokers and ... More


Regulation of Swaps

Alan N. Rechtschaffen

in Capital Markets, Derivatives and the Law: Evolution After Crisis

Published in print:
2014
Published Online:
May 2014
ISBN:
9780199971541
eISBN:
9780199361458
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199971541.003.0011
Subject:
Law, Company and Commercial Law

The 2008 near collapse of financial markets has been attributed to derivatives, particularly over-the-counter derivatives. The Wall Street Reform and Consumer Protection Act, also known as the ... More


Dodd–Frank Restrictions on the Lender-of-Last-Resort Power

Hal S. Scott

in Connectedness and Contagion: Protecting the Financial System from Panics

Published in print:
2016
Published Online:
January 2017
ISBN:
9780262034371
eISBN:
9780262332156
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262034371.003.0009
Subject:
Economics and Finance, Economic History

The Dodd–Frank Act placed important restrictions on the Fed's power as lender of last resort (LLR) to nonbanks under §13(3) as part of the post-crisis reaction that its lending constituted an ... More


Consumer Protection

Kathleen C. Engel and Patricia A. McCoy

in The Subprime Virus: Reckless Credit, Regulatory Failure, and Next Steps

Published in print:
2011
Published Online:
April 2015
ISBN:
9780195388824
eISBN:
9780190258535
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:osobl/9780195388824.003.0012
Subject:
Business and Management, Political Economy

The subprime crisis showed that federal banking regulators cannot be relied on to put consumer safety over the interests of regulated banks. This chapter evaluates whether the Dodd-Frank Act achieves ... More


Differentiating Coordination and Overlap in Banking Regulation

Alejandro E. Camacho and Robert L. Glicksman

in Reorganizing Government: A Functional and Dimensional Framework

Published in print:
2019
Published Online:
January 2020
ISBN:
9781479829675
eISBN:
9781479811649
Item type:
chapter
Publisher:
NYU Press
DOI:
10.18574/nyu/9781479829675.003.0009
Subject:
Law, Constitutional and Administrative Law

This chapter explores the adverse consequences of conflating the overlap/distinct and coordination/independence dimensions of regulatory authority by focusing on Congress's restructuring of federal ... More


Executive Compensation

Stephen M. Bainbridge

in Corporate Governance after the Financial Crisis

Published in print:
2012
Published Online:
May 2012
ISBN:
9780199772421
eISBN:
9780199932696
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199772421.003.0005
Subject:
Law, Company and Commercial Law

Both Sarbanes–Oxley and Dodd–Frank included new executive compensation regulations. A key question is whether these provisions addressed actual corporate governance failures or were simply a sop to ... More


Unfinished Business: Post-Crisis Reforms Have Not Removed the Systemic Dangers Posed by Universal Banks and Shadow Banks

Arthur E. Wilmarth Jr. Jr.

in Taming the Megabanks: Why We Need a New Glass-Steagall Act

Published in print:
2020
Published Online:
September 2020
ISBN:
9780190260705
eISBN:
9780190260736
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780190260705.003.0013
Subject:
Economics and Finance, Financial Economics

In 2009, the U.S. and other G20 nations agreed on reforms designed to improve the regulation of systemically important financial institutions and markets. However, those reforms did not change the ... More


Dodd–Frank Act Policies to Address Connectedness

Hal S. Scott

in Connectedness and Contagion: Protecting the Financial System from Panics

Published in print:
2016
Published Online:
January 2017
ISBN:
9780262034371
eISBN:
9780262332156
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262034371.003.0006
Subject:
Economics and Finance, Economic History

The Dodd–Frank Act was the principal response of the United States to the 2008 financial crisis. Despite the fact that the crisis actually had little to do with asset connectedness, many of the most ... More


Comparison of LLR Powers of Fed with Bank of England, European Central Bank, and Bank of Japan

Hal S. Scott

in Connectedness and Contagion: Protecting the Financial System from Panics

Published in print:
2016
Published Online:
January 2017
ISBN:
9780262034371
eISBN:
9780262332156
Item type:
chapter
Publisher:
The MIT Press
DOI:
10.7551/mitpress/9780262034371.003.0010
Subject:
Economics and Finance, Economic History

The Fed's three major peers are the Bank of England (BOE), the European Central Bank, and the Bank of Japan (BOJ). This chapter begins with a description of the powers of the three peer central ... More


Financial Reform Efforts since the Global Financial Crisis—An Overview

Michael Schillig

in Resolution and Insolvency of Banks and Financial Institutions

Published in print:
2016
Published Online:
March 2021
ISBN:
9780198703587
eISBN:
9780191927249
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780198703587.003.0003
Subject:
Law, Company and Commercial Law

The chapter provides an overview of the current state of the reform efforts in the jurisdictions under consideration with a focus on the institutional architecture, banking regulation, shadow ... More


The Financial Crisis: Sowing the Seeds of New Regulation

Alan N. Rechtschaffen

in Capital Markets, Derivatives and the Law: Evolution After Crisis

Published in print:
2014
Published Online:
May 2014
ISBN:
9780199971541
eISBN:
9780199361458
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199971541.003.0001
Subject:
Law, Company and Commercial Law

This chapter examines the origins of the financial crisis and its impact on the regulatory environment. It explains how failures in individual markets and institutions rapidly devolved into global ... More


Securities Regulation

Alan N. Rechtschaffen

in Capital Markets, Derivatives and the Law: Evolution After Crisis

Published in print:
2014
Published Online:
May 2014
ISBN:
9780199971541
eISBN:
9780199361458
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199971541.003.0012
Subject:
Law, Company and Commercial Law

Prior to the financial crisis, financial regulation was compartmentalized along lines of segmented financial instruments, but the crisis led to the revision of an outdated regulatory structure in ... More


Use of Non-EU Ratings in the EU

Garcia Alcubilla and Ruiz del Pozo

in Credit Rating Agencies on the Watch List: Analysis of European Regulation

Published in print:
2012
Published Online:
May 2012
ISBN:
9780199608867
eISBN:
9780191739125
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/acprof:oso/9780199608867.003.0004
Subject:
Economics and Finance, Financial Economics, Macro- and Monetary Economics

Agencies domiciled in non-EU countries do not need to be registered in order to issue ratings on EU issuers or on securities offered in the EU. However, these ratings may not be used for regulatory ... More


Disruptive Soft Law and Post-Crisis US Reform

Abraham L. Newman and Elliot Posner

in Voluntary Disruptions: International Soft Law, Finance, and Power

Published in print:
2018
Published Online:
April 2018
ISBN:
9780198818380
eISBN:
9780191859526
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780198818380.003.0006
Subject:
Political Science, Democratization

Chapter 6 examines the long-term effects of international soft law on policy in the United States since 2008. The extent and type of post-crisis US cooperation with foreign jurisdictions have varied ... More


The Fed’s Legitimacy Problem

Lawrence R. Jacobs and Desmond King

in Fed Power: How Finance Wins

Published in print:
2021
Published Online:
March 2021
ISBN:
9780197573129
eISBN:
9780197573167
Item type:
chapter
Publisher:
Oxford University Press
DOI:
10.1093/oso/9780197573129.003.0004
Subject:
Political Science, American Politics

Chapter 4 explains how the Fed’s inventions in 2008–2009 and 2020 strained the Federal Reserve’s legitimacy as an apolitical central bank serving the public good. The Fed’s actions punctured its ... More


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