Publications and Working Papers

Publications

 

• Christine Sgarlata Chung and David P. McCaffrey, "Summaries of Selected Reports and Commentaries on Regulatory Reform and Financial Institutions." January 28, 2009. Center for Financial Market Regulation, University at Albany and Albany Law School.
  
  - Part I: Document Overview and Full Written Summaries of Selected Reports and Commentaries. Click here to download (pdf).
  
  - Part II: Summaries in Template Form of Selected Reports and Commentaries. Click here to download (pdf).

• Gerard S. Citera, “Broker-Dealer Supervision: A New Paradigm.” Insights: The Corporate & Securities Law Advisor, 21(7): 15-23 (July 2007). Click here to download (pdf).

• David P. McCaffrey, Amy E. Smith, and Ignacio Martinez-Moyano, “Then Let’s Have a Dialogue: Interdependence and Negotiation in a Cohesive Regulatory System.” Journal of Public Administration Research and Theory, 17(2): 307-334 (April 2007). Click here for information.
  


• Sue Faerman, David P. McCaffrey, and David Van Slyke, “Understanding Interorganizational Cooperation: Public-Private Collaboration in Regulating Financial Market Innovation,” Organization Science, 12: 372-388 (May-June 2001). Click here for information.

• David P. McCaffrey and David W. Hart, Wall Street Polices Itself: How Securities Firms Manage The Legal Hazards Of Competitive Pressures (New York: Oxford University Press, 1998). Click here for information.

 

Working Papers

 

• David P. McCaffrey, "Short Sale Regulation: A Review of the Policy Debate, 2008-2009," Center for Financial Market Regulation, June, 2009. Click here to download (pdf).


• Ignacio J. Martinez-Moyano, David P. McCaffrey, and Rogelio Oliva, “Drift and Adjustment in Organizational Rule Compliance” (October 1, 2008, available from David P. McCaffrey, d.mccaffrey@albany.edu). Download abstract here.
  

 

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