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Arthur B. Laby

Rutgers Law School

Professor

217 North Fifth Street

Camden, NJ 08102

United States

http://https://law.rutgers.edu/directory/view/alaby

  • Rutgers Law School

    • Email
    • Tel: 856-225-6272
    • Fax: 856-225-6516
SCHOLARLY PAPERS

16

DOWNLOADS
Rank 14,750

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Top 14,750

in Total Papers Downloads

2,663

CITATIONS
Rank 23,020

SSRN RANKINGS

Top 23,020

in Total Papers Citations

12

Scholarly Papers (16)

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1.

Reforming the Regulation of Broker-Dealers and Investment Advisers

The Business Lawyer, Vol. 65, No. 2, February 2010
Number of pages: 46 Posted: 19 Oct 2009 Last Revised: 01 Mar 2010
Arthur B. Laby
Rutgers Law School
Downloads 721 (25,736)
Citation 3

Abstract:

broker-dealer, investment adviser, securities regulation, financial regulation, fiduciary duty

2.

Resolving Conflicts of Duty in Fiduciary Relationships

American University Law Review, Vol. 54, p. 75, 2004
Number of pages: 75 Posted: 25 May 2006
Arthur B. Laby
Rutgers Law School
Downloads 400 (54,726)
Citation 3

Abstract:

fiduciary duty, conflicts of duty, acts and omissions, Kant

3.

Differentiating Gatekeepers

Brooklyn Journal of Corporate, Financial & Commercial Law, Vol. 1, p. 119, 2006
Number of pages: 45 Posted: 28 Dec 2006
Arthur B. Laby
Rutgers Law School
Downloads 330 (68,157)
Citation 1

Abstract:

gatekeepers, lawyers, accountants, research analysts, social psychology, behavioral psychology, Sarbanes-Oxley Act

4.

The Fiduciary Obligation as the Adoption of Ends

Buffalo Law Review, Vol. 56, No. 1, 2008
Number of pages: 69 Posted: 25 Apr 2008
Arthur B. Laby
Rutgers Law School
Downloads 244 (95,515)
Citation 3

Abstract:

fiduciary, duty, contract, ethics, Kant

5.

Fiduciary Obligations of Broker-Dealers and Investment Advisers

Villanova Law Review, Vol. 55, No. 3, p. 701, 2010
Number of pages: 42 Posted: 01 Aug 2011
Arthur B. Laby
Rutgers Law School
Downloads 168 (94,010)
Citation 1

Abstract:

broker-dealers, investment advisers, fiduciary duties, Dodd-Frank, Securities and Exchange Commission, financial regulatory reform

6.

SEC v. Capital Gains Research Bureau and the Investment Advisers Act of 1940

Boston University Law Review, Vol. 91, No. 3, 2011
Number of pages: 54 Posted: 30 Jul 2011
Arthur B. Laby
Rutgers Law School
Downloads 148 (131,532)
Citation 1

Abstract:

investment advisers, fiduciary duty, Investment Advisers Act

7.

Regulation of Global Financial Firms after Morrison v. National Australia Bank

St. John's Law Review, Vol. 87, No. 2, 2013
Number of pages: 24 Posted: 01 Mar 2013 Last Revised: 05 Mar 2013
Arthur B. Laby
Rutgers Law School
Downloads 102 (196,641)

Abstract:

securities regulation, broker-dealers, investment advisers, extraterritoriality, Securities and Exchange Commission

8.

Selling Advice and Creating Expectations: Why Brokers Should Be Fiduciaries

Washington Law Review, Vol. 87, No. 4, 2012
Number of pages: 70 Posted: 21 Aug 2017
Arthur B. Laby
Rutgers Law School
Downloads 0 (519,772)

Abstract:

Investment advisers, broker-dealers, fiduciary duty, Dodd-Frank, Securities and Exchange Commission

9.

Implementing Regulatory Harmonization at the SEC

Review of Banking and Financial Law, Vol. 30, No. 1, 2010
Number of pages: 16 Posted: 17 Aug 2017
Arthur B. Laby
Rutgers Law School
Downloads 0 (524,278)

Abstract:

Broker-Dealers, Investment Advisers, Fiduciary Duty, Dodd-Frank, Securities and Exchange Commission

10.

Juridical and Ethical Aspects of the Fiduciary Obligation

13 Jarhbuch für Recht und Ethik (Annual Review of Law and Ethics) 565 (2005),
Number of pages: 21 Posted: 14 Aug 2017
Arthur B. Laby
Rutgers Law School
Downloads 0 (515,254)

Abstract:

Fiduciary duty, duty of loyalty, duty of care, Kant, moral philosophy, juridical duty, ethical duty

11.

The Definition of 'Security' Under the Federal Securities Laws

Jerry W. Markham & Rigers Gjyshi, eds., Research Handbook on Securities Regulation in the United States (2014)
Number of pages: 35 Posted: 28 Jul 2017
Arthur B. Laby
Rutgers Law School
Downloads 0 (519,772)

Abstract:

Federal securities laws, securities regulation, Securities and Exchange Commission, definition of "security"

12.

Regulatory Convergence and Organizational Culture

Tulane Law Review, Vol. 90, No. 5, 2016
Number of pages: 29 Posted: 27 Jul 2017
Arthur B. Laby
Rutgers Law School
Downloads 0 (519,772)

Abstract:

Organizational culture; fiduciary duty, broker-dealer, investment adviser, regulatory convergence, regulatory harmonization, Securities and Exchange Commission

13.

Book Review: Philosophical Foundations of Fiduciary Law

Law and Philosophy, Vol. 35, No. 1, 2016
Number of pages: 9 Posted: 21 Jul 2017
Arthur B. Laby
Rutgers Law School
Downloads 0 (339,748)

Abstract:

fiduciary duty, fiduciary relationships, fiduciary obligation, fiduciary theory, duty of loyalty, duty of care

14.

The Extraterritorial Application of U.S. Financial Services Regulation

Swiss Reiew of Business Law, Vol. 2017, No. 2, 2017
Number of pages: 8 Posted: 19 Jul 2017
Arthur B. Laby
Rutgers Law School
Downloads 0 (400,104)

Abstract:

Extraterritoriality, Securities Regulation, Investment Adviser, Broker-Dealer, Securities and Exchange Commission, Dodd-Frank

15.

The Fiduciary Structure of Investment Management Regulation

Research Handbook on Mutual Funds. (John D. Morley & William A. Birdthistle, eds.) (Elgar Publishing) Forthcoming
Number of pages: 29 Posted: 29 Jun 2017
Arthur B. Laby
Rutgers Law School
Downloads 0 (249,423)

Abstract:

fiduciary duty, fiduciary obligation, investment managers, asset managers, investment advisers, Securities and Exchange Commission

16.

Competing Accounts of Fiduciary Obligation

Research Handbook on Fiduciary Law (Andrew S. Gold & D. Gordon Smith, eds.) (Forthcoming)
Number of pages: 23 Posted: 29 Jun 2017
Arthur B. Laby
Rutgers Law School
Downloads 0 (288,832)

Abstract:

fiduciary duty, fiduciary relationships, fiduciary obligation, duty of loyalty, duty of care

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