Roberta S. Karmel

Brooklyn Law School

Professor and Co-Director

250 Joralemon Street

Brooklyn, NY 11201

United States

SCHOLARLY PAPERS

30

DOWNLOADS
Rank 5,348

SSRN RANKINGS

Top 5,348

in Total Papers Downloads

11,436

SSRN CITATIONS
Rank 17,719

SSRN RANKINGS

Top 17,719

in Total Papers Citations

14

CROSSREF CITATIONS

46

Scholarly Papers (30)

1.

Turning Seats into Shares: Implications of Demutualization for the Regulation of Stock Exchanges

Number of pages: 67 Posted: 18 Jan 2001
Roberta S. Karmel
Brooklyn Law School
Downloads 1,304 (22,247)
Citation 7

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2.

Is the Independent Director Model Broken?

Seattle University Law Review, 2013 Forthcoming, Brooklyn Law School, Legal Studies Paper No. 348
Number of pages: 33 Posted: 30 Jul 2013
Roberta S. Karmel
Brooklyn Law School
Downloads 889 (38,622)

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corporate governance, independent directors, investment company governance, Sarbanes Oxley Reforms, Dodd Frank Reforms, board primacy, shareholder primacy, stakeholder theory, bank boards, government shareholders, European corporate governance, Chinese corporate governance

Downloads 396 (106,236)
Citation 11

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corporations, governance, regulation, securities, SEC, investors

Downloads 391 (107,816)

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Sarbanes-Oxley, federal securities law, state corporation law, governance, SEC, activism, Delaware, Journal, Corporate, Law

4.

Is the Financial Industry Regulatory Authority a Government Agency?

Brooklyn Law School, Legal Studies Paper No. 86
Number of pages: 66 Posted: 03 Oct 2007
Roberta S. Karmel
Brooklyn Law School
Downloads 635 (60,366)
Citation 1

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NASD, NYSE, FINRA, self-regulating institution, administrative law

5.

Reform of Public Company Disclosure in Europe

University of Pennsylvania Journal of International Economic Law, Vol. 26, No. 3, Fall 2005, Brooklyn Law School, Legal Studies Paper No. 35
Number of pages: 40 Posted: 08 Sep 2005
Roberta S. Karmel
Brooklyn Law School
Downloads 593 (65,853)

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securities, European Union, disclosure, financial reporting

6.

The Controversy Over Systemic Risk Regulation

Brooklyn Journal of International Law, Forthcoming, Brooklyn Law School, Legal Studies Paper No. 179
Number of pages: 29 Posted: 24 Jan 2010
Roberta S. Karmel
Brooklyn Law School
Downloads 572 (68,941)

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systemic risk, Federal Reserve Board, Council of Regulators, GAO, Financial Regulatory Reform, European Financial Supervisors

7.

The Future of the Securities and Exchange Commission as a Market Regulator

Cincinnati Law Review, 2010, Brooklyn Law School, Legal Studies Paper No. 152
Number of pages: 48 Posted: 20 May 2009
Roberta S. Karmel
Brooklyn Law School
Downloads 542 (73,790)

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financial regulatory reform, securities market regulation, Securities and Exchange Commission, Commodity Futures Trading Commission, SEC, CFTC, Treasury Blueprint, derivatives, credit default swaps, short selling, short sale regulation, margin, systemic risk, capital adequacy, hedge funds, money

8.

The Once and Future New York Stock Exchange: The Regulation of Global Exchanges

Brooklyn Journal of Corporate, Financial & Commercial Law, 2007, Brooklyn Law School, Legal Studies Paper No. 70
Number of pages: 62 Posted: 22 Jan 2007
Roberta S. Karmel
Brooklyn Law School
Downloads 542 (73,790)
Citation 1

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exchanges, stock exchange, self-regulatory organizations, securities

9.

The Hardening of Soft Law in Securities Regulation

Brooklyn Journal of International Law, Vol. 34, 2009, Brooklyn Law School, Legal Studies Paper No. 141
Number of pages: 70 Posted: 01 Apr 2009 Last Revised: 08 May 2009
Claire Kelly and Roberta S. Karmel
Brooklyn Law School and Brooklyn Law School
Downloads 529 (76,006)
Citation 1

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securities law, corporate, soft law, financial regulation, international

10.

Should a Duty to the Corporation Be Imposed on Institutional Shareholders?

Number of pages: 36 Posted: 16 May 2004
Roberta S. Karmel
Brooklyn Law School
Downloads 509 (79,693)
Citation 8

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corporations, governance, directors, shareholders, institutional investors

11.

IOSCO's Response to the Financial Crisis

Brooklyn Law School, Legal Studies Paper No. 268
Number of pages: 52 Posted: 18 Mar 2012
Roberta S. Karmel
Brooklyn Law School
Downloads 476 (86,415)
Citation 1

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IOSCO, systemic risk, short selling, credit rating agencies, high frequency trading, flash crash, dark pools

12.

Voting Power Without Responsibility or Risk - How Should Proxy Reform Address the Decoupling of Economic and Voting Rights?

Villanova Law Review, Vol. 55, 2010, Brooklyn Law School, Legal Studies Paper No. 146
Number of pages: 43 Posted: 30 Apr 2009
Roberta S. Karmel
Brooklyn Law School
Downloads 457 (90,692)

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empty voting, majority voting, proxy access, proxy rules, shareholder voting, vote buying, voting trusts, weighted voting

13.

Should Securities Industry Self-Regulatory Organizations be Considered Government Agencies?

Stanford Journal of Law, Business, and Finance, Forthcoming, Brooklyn Law School, Legal Studies Paper No. 86
Number of pages: 66 Posted: 08 May 2008
Roberta S. Karmel
Brooklyn Law School
Downloads 417 (100,851)
Citation 1

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NASD, NYSE, FINRA, self-regulating institution, administrative law

14.

The EU Challenge to the SEC

Fordham International Law Journal, Forthcoming, Brooklyn Law School, Legal Studies Paper No. 101
Number of pages: 34 Posted: 16 Mar 2008
Roberta S. Karmel
Brooklyn Law School
Downloads 407 (103,734)

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European Union, SEC, Securities and Exchange Commission, financial regulation, GAAP, IFRS

15.

The Securities and Exchange Commission Goes Abroad to Regulate Corporate Governance

Number of pages: 50 Posted: 13 Apr 2004
Roberta S. Karmel
Brooklyn Law School
Downloads 377 (113,199)

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corporations, governance, regulation, securities, foreign issuers

16.

Reconciling Federal and State Interests in Securities Regulation in the United States and Europe

Number of pages: 59 Posted: 11 Dec 2002
Roberta S. Karmel
Brooklyn Law School
Downloads 371 (115,280)
Citation 4

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Securities, Administrative Law, Constitutional Law

17.

Regulation by Exemption: The Changing Definition of an Accredited Investor

Rutgers Law Journal, Forthcoming, Brooklyn Law School, Legal Studies Paper No. 102
Number of pages: 28 Posted: 03 Apr 2008
Roberta S. Karmel
Brooklyn Law School
Downloads 351 (122,599)

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exemptions, initial public offerings, IPO, mutual funds, SEC

18.

An Orderly Liquidation Authority is Not the Solution to Too-Big-To-Fail

Brooklyn Journal of Corporate, Financial & Commercial Law, Vol. 6, 2011, Brooklyn Law School, Legal Studies Paper No. 259
Number of pages: 52 Posted: 10 Feb 2012
Roberta S. Karmel
Brooklyn Law School
Downloads 255 (170,774)

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Too-Big-To-Fail, Banks, Bank mergers, holding companies, Federal Reserve Board, Bank of America, Citigroup, JP Morgan Chase, Glass Steagall Act

19.

Disclosure Reform — The SEC is Riding Off in Two Directions at Once

Brooklyn Law School Legal Studies Paper No. 419
Number of pages: 44 Posted: 27 Aug 2015
Roberta S. Karmel
Brooklyn Law School
Downloads 242 (179,592)
Citation 1

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SEC Disclosure policy; Sustainability Accounting Standards Board; environmental and climate change disclosure; conflict minerals; mine safety violations; resource extraction payments; disclosure of political contributions; cybersecurity disclosure; emerging growth company disclosure

20.

When Should Investor Reliance Be Presumed in Securities Class Actions?

Business Lawyer, November 2007, Brooklyn Law School, Legal Studies Paper No. 80
Number of pages: 48 Posted: 23 Jul 2007
Roberta S. Karmel
Brooklyn Law School
Downloads 225 (192,504)

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securities, class action, investor, reliance, causation

21.

The Financialization of Corporate Governance

Cambridge Handbook on Investor Protection, 2020, Brooklyn Law School, Legal Studies Paper No. 653
Number of pages: 17 Posted: 18 Dec 2020
Roberta S. Karmel
Brooklyn Law School
Downloads 216 (200,154)

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corporation law, Securities Law, Executive Compensation,Buy-Backs,Fiduciary Duties, Corporate Purpose, Shareholder Primacy, Stakeholder Governance

22.

Is the Public Utility Holding Company Act a Model for Breaking Up the Banks that are Too-Big-to-Fail?

Brooklyn Law School, Legal Studies Paper No. 202
Number of pages: 56 Posted: 22 Sep 2010
Roberta S. Karmel
Brooklyn Law School
Downloads 210 (205,432)
Citation 1

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Too Big to Fail, Dodd-Frank, Public Utility Holding Company Act, Systemic Risk, Bank Regulation, Securities Regulation, Moral Hazard, Antitrust

23.

The Law on Insider Trading Lacks Needed Definition

Southern Methodist University Law Review, Forthcoming, Brooklyn Law School, Legal Studies Paper No. 413
Number of pages: 13 Posted: 20 May 2015
Roberta S. Karmel
Brooklyn Law School
Downloads 198 (216,754)

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insider trading, criminal prosecutions

24.

Will Law Firms Go Public?

Brooklyn Law School, Legal Studies Paper No. 321
Number of pages: 57 Posted: 08 Mar 2013
Roberta S. Karmel
Brooklyn Law School
Downloads 151 (272,646)
Citation 1

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Professional Responsibility, Legal Ethics, Law Firms, Lawyer Regulation in the U.K., Australia and Canada, ABA Ethics 2000, Broker-Dealer Partnerships

25.

Independent Agencies in the United State - Law, Structure, and Politics

Catholic University Law Review, Forthcoming, Brooklyn Law School, Legal Studies Paper No. 464
Number of pages: 29 Posted: 25 Aug 2016
Roberta S. Karmel
Brooklyn Law School
Downloads 107 (352,000)

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Administrative Law, Independent Agencies, Securities Regulation, Securities and Exchange Commission

26.

Little Power Struggles Everywhere: Attacks on the Administrative State at the Securities and Exchange Commission

Brooklyn Law School, Legal Studies Paper No. 610
Number of pages: 75 Posted: 30 Aug 2019
Roberta S. Karmel
Brooklyn Law School
Downloads 74 (440,748)

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administrative law, securities law, cost-benefit analysis, best interest rule, agency independence

27.

The Case for a European Securities Commission

Columbia Journal of Transnational Law, Fall 1999
Posted: 13 Sep 1999
Roberta S. Karmel
Brooklyn Law School

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28.

Creating Law at the Securities and Exchange Commission: The Lawyer as Prosecutor

Posted: 13 Sep 1999
Roberta S. Karmel
Brooklyn Law School

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29.

The Challenge to Financial Regulators Posed by Social Security Privatization

Brooklyn Law Review, Vol. 64, P. 1043, 1998
Posted: 01 Sep 1999
Roberta S. Karmel
Brooklyn Law School

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30.

Outsider Trading on Confidential Information - a Breach in Search of a Duty

Brooklyn Law School Center for The Study of International Business Law Working Paper, January 1997
Posted: 21 Feb 1997
Roberta S. Karmel
Brooklyn Law School

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