Arthur B. Laby

Rutgers Law School

Professor

217 North Fifth Street

Camden, NJ 08102

United States

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

SCHOLARLY PAPERS

19

DOWNLOADS
Rank 16,859

SSRN RANKINGS

Top 16,859

in Total Papers Downloads

4,169

SSRN CITATIONS

1

CROSSREF CITATIONS

10

Scholarly Papers (19)

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 857 (38,934)

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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 482 (81,800)

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

3.

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 438 (91,615)

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

4.

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 409 (99,255)

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

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 340 (122,200)

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

6.

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 311 (134,176)
Citation 1

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fiduciary, duty, contract, ethics, Kant

7.

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 286 (146,588)

Abstract:

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investment advisers, fiduciary duty, Investment Advisers Act

8.

The Extraterritorial Application of U.S. Financial Services Regulation

Swiss Review of Business Law, Vol. 2017, No. 2, 2017
Number of pages: 8 Posted: 19 Jul 2017
Arthur B. Laby
Rutgers Law School
Downloads 159 (252,214)

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

9.

Advisors as Fiduciaries

Florida Law Review, Forthcoming
Number of pages: 70 Posted: 28 Apr 2020
Arthur B. Laby
Rutgers Law School
Downloads 132 (292,118)

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Fiduciary Law, Fiduciary Theory, Trust, Discretion, Advisors, Broker-Dealers, Investment Advisors, Lawyers, Physicians

10.

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 131 (293,807)

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

11.

Fiduciary Principles in Investment Advice

Oxford Handbook of Fiduciary Law (Evan J. Criddle, Paul B. Miller & Robert H. Sitkoff eds., Oxford University Press 2019), Rutgers Law School Research Paper
Number of pages: 34 Posted: 03 Oct 2019
Arthur B. Laby
Rutgers Law School
Downloads 120 (313,639)

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investment advisers, investment advice, financial institutions, fiduciary law, fiduciary duties

12.

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 119 (315,514)

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

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 95 (366,830)

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

14.

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 87 (387,482)

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

15.

The Decline and Rise of Fiduciary Obligations in Business

Fiduciary Obligations in Business (Cambridge University Press, forthcoming)
Number of pages: 39 Posted: 12 Feb 2021
Jacob Hale Russell and Arthur B. Laby
Rutgers Law School and Rutgers Law School
Downloads 78 (412,995)

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fiduciary obligations, fiduciary duties, fiduciary law, corporate governance, business law

16.

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 53 (501,479)

Abstract:

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

17.

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 33 (598,910)

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

18.

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 22 (671,213)

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

19.

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 17 (709,254)

Abstract:

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