Ronald H. Filler

New York Law School

185 West Broadway

New York, NY 10013

United States

SCHOLARLY PAPERS

7

DOWNLOADS

563

CITATIONS

0

Scholarly Papers (7)

1.

Ask the Professor - Portfolio Margining - How Will Dodd-Frank Impact its Utilization

The Journal of the Law of Investment & Risk Management, "The Futures & Derivatives Law Report", Vol. 30, No. 10, November 2010, NYLS Legal Studies Research Paper No. 10/11 #11
Number of pages: 7 Posted: 08 Dec 2010
Ronald H. Filler
New York Law School
Downloads 179 (124,158)

Abstract:

CFTC, Portfolio Margining, NYSE, Margin, Dodd Frank, Regulation T, SEC, Bankruptcy, Financial Institutions, Brokerage Firms

2.

Ask the Professor: How Does the U.K. Client Money Rules Differ from the U.S. Customer Segregated Rules When the Custodian Firm Fails to Treat Customer Property Properly?

The Journal of the Law of Investment & Risk Management, "The Futures & Derivatives Law Report", Vol. 30, No. 11, NYLS Legal Studies Research Paper No. 10/11 #12
Number of pages: 5 Posted: 08 Dec 2010
Ronald H. Filler
New York Law School
Downloads 171 (119,071)

Abstract:

FSA, CFTC, Lehman Brothers, Client Money Rules, Customer Segregation, Customer Assets, Bankruptcy

3.

OMG! What Did MF Global Do?

Futures & Derivatives Law Report, Volume 30, Issue 11, November 2011
Number of pages: 7 Posted: 25 Oct 2013 Last Revised: 24 Feb 2015
Ronald H. Filler
New York Law School
Downloads 30 (327,208)

Abstract:

MF Global, Customer Assets, CFTC, Commodity Exchange Act

4.

Ask the Professor: Did the 7th Circuit Properly Rule in Sentinel II?

The Journal of the Law of Investment & Risk Management Products: Futures & Derivatives Law Report (Volume 34, Issue 5)
Number of pages: 10 Posted: 24 Feb 2015
Ronald H. Filler
New York Law School
Downloads 25 (363,288)

Abstract:

Sentinel, Judge Zagel, FCMs, IA Custody Rules, Investment Advisers, SEC Rule 206(4)-2, Commodity Exchange Act, CFTC, Customer Segregation, Bankruptcy of FCMs, Claw-Backs, US Bankruptcy Code, CFTC Rule 1.20, Section 546 of USBC, Section 549 of USBC, Post-Petition Transfers in Bankruptcy

5.

Ask the Professors: Did the European Court of Justice Properly Rule by Dismissing the U.K.'s Attempt to Annul ESMA's Regulation Banning Short Selling

The Journal of the Law of Investment & Risk Management Products: Futures & Derivatives Law Report (Volume 34, Issue 3)
Number of pages: 9 Posted: 24 Feb 2015
Ronald H. Filler and Elizabeth L. Ritter
New York Law School and DLA Piper
Downloads 21 (349,221)

Abstract:

European Court of Justice, Short Sales, UK Financial Services Authority, Annulment of Financial laws, ESMA, SEC, European Parliament, Council of the European Union, European Securities & Markets Authority, Meroni Case, Regulation (EU) No. 236

6.

Are Customer Segregated/Secured Amount Funds Properly Protected after Lehman?

Futures & Derivatives Law Report, Volume 28, Issue 10, November 2008
Number of pages: 13 Posted: 25 Oct 2013
Ronald H. Filler
New York Law School
Downloads 19 (382,641)

Abstract:

Lehman Brothers, Customer Assets, CFTC, Segregation, Commodity Exchange Act

7.

What is the Impact on MF Global from the Recent UK Supreme Court Decision Involving Lehman Brothers International (Europe)?

Futures & Derivatives Law Report, Volume 32, Issue 4, April 2012
Number of pages: 6 Posted: 25 Oct 2013
Ronald H. Filler
New York Law School
Downloads 16 (415,311)

Abstract:

Customer Assets; Segregation; Client Money Rules