James Fanto

The Professionalization of Compliance: Its Progress, Impediments, and Outcomes, 35 Notre Dame Journal of Law, Ethics & Public Policy 183 (2021)

Symposium Introduction: A Tribute to Roberta Karmel, 16 Brooklyn Journal of  Corporate, Financial & Commercial Law 1 (2021)

Looking Forward: Professor Roberta Karmel's Prescient Views on the Transformation of Self-Regulatory Organizations and of the Securities Market Structure at the Turn of the Last Century, 16 Brooklyn Journal of Corporate, Financial & Commercial Law 123 (2021)

Emerging Trends in Corporate Enforcement and Corporate Compliance: Symposium Introduction, 14 Brooklyn Journal of Corporate, Financial & Commercial Law 1 (2019) (with Miriam Baer)

The Governing Authority's Responsibilities in Compliance and Risk Management, as Seen in the American Law Institute's Draft Principles of Compliance, Risk Management, and Enforcement, 90 Temple Law Review 699 (2018)

Some Old (and New) Wine in New Bottles: the 2018 SEC and FINRA Examination Priorities, Practical Compliance and Risk Management for the Securities Industry, Mar-Apr 2018, at 13

Dashboard Compliance: Benefit, Threat, or Both, 11 Brooklyn Journal of Corporate Finance & Compliance Law 1 (2016)

The Vanishing Supervisor, 41 Journal of Corporation Law 117 (2015)

Surveillant and Counselor: A Reorientation in Compliance for Broker-Dealers, 2014 Brigham Young University Law Review Law Review 1121 (2014)

Advising Compliance in Financial Firms: A New Mission for the Legal Academy, 8 Brooklyn Journal of Corporate, Financial, & Commercial Law 1 (2013)

Justifying Board Diversity, 89 North Carolina Law Review 901 (2011) (with Lawrence M. Solan & John M. Darley)

Breaking Up is Hard To Do: Should Financial Conglomerates be Dismantled?, 79 University of Cincinnati Law Review 553 (2010)

Organizational Liability, 19 Journal of Law & Policy 45 (2010)

Financial Regulation Reform: Maintaining the Status Quo, 35 Brooklyn Journal of International Law 635 (2010)

Anticipating the Unthinkable: The Adequacy of Risk Management in Finance and Environmental Studies, 44 Wake Forest Law Review 731 (2009)​

Recognizing the “Bad Barrel” in Public Business Firms: Social and Organizational Factors in Misconduct by Senior Decision‐Makers, 57 Buffalo Law Review 1 (2009)​

The Role of Financial Regulation in Private Financial Firms: Risk Management and the Limitations of the Market Model, 3 Brooklyn Journal of Financial & Commercial Law 29 (2008)​

The SEC'S 2008 Agenda for Broker-Dealers and Investment Advisers, 1 Practical Compliance & Risk Management for the Securities Industry 43 (2008)

A Social Defense of Sarbanes-Oxley, 52 New York Law School Law Review 517 (2007)

The Continuing Need for Broker-Dealer Professinalism in IPOs, 2 Ohio State Entrepreneurial Business Law Journal 679(2008)

Paternalistic Regulation of Public Company Management: Lessons from Bank Management, 58 Florida Law Review 859 (2006)

Corporate Misbehavior by Elite Decision-Makers Symposium - Perspectives from Law and Social Psychology: Introduction, 70 Brooklyn Law Review 1165 (2005)

Subtle Hazards Revisited: The Corruption of a Financial Holding Company by a Corporate Client’s Inner Circle, 70 Brooklyn Law Review 7 (2004)

Whistleblowing and the Public Director: Countering Corporate Inner Circles, 83 Oregon Law Review 435 (2004)

Persuasion and Resistance: The Use of Psychology by Anglo-American Corporate Governance Advocates in France, 35 Vanderbilt Journal of Transnational Law 1041 (2002)

Braking the Merger Momentum: Reforming Corporate Law Governing Mega-Mergers, 49 Buffalo Law Review (2001)

Quasi-Rationality in Action: A Study of Psychological Factors in Merger Decision Making, 62 Ohio State Law Journal 1333 (2001)

The Necessity of (and the Threat Posed by) Consumer Financial Education for the New Financial Conglomerates, 26 Journal of International Banking Register 39 (2000)

When Those Who Do Teach: The Consequenses of Law Firm Education for Business Law Education, 34 Georgia Law Review 839 (2000)

The Contribution of the Fund Profile to Investor Education, 1 Villanova Journal of Law and Investment Management 59 (1999)

The Role of Corporate Law in French Corporate Governance, 31 Cornell International Law Journal 31 (1998); (reprinted in The Legal Basis of Corporate Governance in Publicly-held Corporations: A Comparative Approach (A. R. Pinto & G. Visentini eds. 1998))

Comparative Investor Education, 64 Brooklyn Law Review 1083 (1998)

Investor Education, Securities Disclosure, and the Creation and Enforcement of Corporate Governance and Firm Norms, 48 Catholic University Law Review 15 (1998)

The Role of Corporate Law in the Adaptation of French Enterprise, 1998 Columbia Business Law Review 97 (1998)

We’re All Capitalists Now: The Importance, Nature, Provision and Regulation of Investor Education, 49 Case Western Reserve Law Review 105 (1998)

The Absence of Cross-Cultural Communication: SEC Mandatory Disclosure and Foreign Corporate Governance, 17 Northwestern Journal of International Law and Business 119 (1996)

"Abuse of the Law" in U.S. Financial Law, Droit Commun et Droit Financier (Jan. 1996)

The Transformation of French Corporate Governance, Issue Alert (Apr. 1995)

The Transformation of French Corporate Governance and United States Institutional Investors, 21 Brooklyn Journal of International Law 1 (1995)

Justice Blackmun and Securities Arbitration: McMahon Revisited, 71 North Dakota Law Review 145 (1995)

The Professionalism of Stanley Fish, 17 Critical Exchange 31 (1985)

Broker-Dealer Compliance: A Case-Based Guide to Compliance Program Elements and Practices (forthcoming, 2023)

Understanding Corporate Law (6th ed. forthcoming, 2023) (with Arthur Pinto)

Broker-Dealer Law and Regulation (5th ed. 2019) (with Jill Gross); (4th ed. 2007) (with annual supplements) (with N. Poser)

Directors’ and Officers’ Liability (Practicing Law Institute, 2d ed. 2005) (with annual supplements until 2014)

Corporate Governance in American and French Law  (Association d'Economie Financière, 1997) (with A. Pezard)

Techniques of Regulatory Implementation: The Case of Reg BI and Form CRS, in The Cambridge Handbook of Investor Protection (Arthur B. Laby ed., 2022)

Mutual Fund Compliance: Key Developments and Their Implications, in Research Handbook on the Regulation of Mutual Funds (William Birdthistle & John Morley eds., 2018)

France, in The Legal Basis of Corporate Governance in Publicly-held Corporations: A Comparative Approach (Springer, 1998, A. Pinto ed.)

A Report on the Attitudes of Foreign Companies Regarding a U.S. Listing, 3 Stanford Journal of Law, Business and Finance 51 (1997) (with R.S. Karmel) (reprinted NYSE Working Paper 97-01)

Book Review (reviewing D.M. Abdelhamid, International Regulatory Rivalry in Open Economies: The Impact of Deregulation on the US and UK Financial Markets (2003)), 27 World Competition: Law and Economics Review 162 (2004)

Opinion d’Outre Atlantique sur l’Affaire Morgan Stanley/LVMH, 5 Revue de Droit Bancaire et Financier 226 (2004)

Columnist (2003- ), International Company and Commercial Law Review

Mandatory Disclosure and Foreign Corporate Governance, Issue Alert (May 1997)

Overview, IX Banking Law Anthology (Jan. 1995)

The Institutional Investor and the New Corporate Governance, 3 Academics' F. 13 (1995)

Contesting Authority: The Marginal, 1 GRIP Report 1 (1983)

A Conflict of Authority: The Falling Out of Lanson and Brunetiere as Seen by Peguy, Michigan Romance Studies 2007 (1982)

Remarks at the 22nd Annual Business Law Symposium: Corporate Governance and Climate Change, Wake Forest University (Mar. 20, 2009)