Joseph  Franco

Biography

Professor of Law, Suffolk University Law School 2003 - present; Associate Professor of Law, Suffolk University Law School 1996 - 2003; United States Securities and Exchange Commission (Washington, D.C.) - Office of the General Counsel, 1988-1996 -- Assistant General Counsel (Market Regulation 1992-1996), Special Counsel (International Litigation and Policy 1990-1992), Staff Attorney (Appellate 1988-90); Fried, Frank, Harris, Shriver & Jacobson, New York, NY, 1988-1990; Associate, 1985-1988; Law Clerk to the Honorable Caleb Wright, U.S. District Court for the District of Delaware (1984-1985)

Education

• BA, University of Notre Dame
• MA, JD, Yale University

Publications

Articles

• Bending the Investment Advisers Act's Regulatory Arc, 26 Ford. J. Corp. & Fin L. 1 (2021)
• Commoditized Governance: The Curious Case of Investment Company Shared Series Trusts, 44 J. CORP. L. 233 (2018)
• Of Complicity and Compliance: A Rule-Based Anti-Complicity Strategy under Federal Securities Law, 14 U. PA. J. BUS. L. 1 (2011)
• A Consumer-Protection Approach to Mutual Fund Disclosure and the Limits of Simplification, 15 STANFORD J.L. BUS. & FIN. 1 (2010)
• Why Antifraud Prohibitions Are Not Enough: The Significance of Opportunism, Candor and Signaling in the Economic Case for Mandatory Securities Disclosure, 2002 COLUM. BUS. L. REV. 223 (2002)
• The Investment Company Act's Definition of 'Security' and the Myth of Equivalence, 7 STANFORD J.L. BUS. & FIN. 1 (2001)
• Rethinking Brokerage Rebate Arrangements: The Case for Collective Pass-Through Arrangements, 1 VILL. J.L. & INV. MGMT. 143 (1999)
• Written Disclosure that Bespeaks Caution and Oral Misstatements by Brokers, 10 INSIGHTS 19 (1996) (with Laura Leedy Gansler)

Book Chapters

• Mutual Fund Disclosure and Related Fund Investor Protection Features, in MUTUAL FUNDS AND EXCHANGE-TRADED FUNDS BUILDING BLOCKS TO WEALTH, H. Kent Baker, et al.eds. (Oxford University Press, 2015)

Media

• INVESTMENT MANAGEMENT REGULATION: AN INTRODUCTION TO PRINCIPLES AND PRACTICE (Carolina Academic Press 2019) (with co-author Karl-Otto Hartmann)

Bar Admittance

• NY
• U.S. Supreme Court
• U.S. Courts of Appeals 1st & 2nd Circuits, D.C. Circuits
• U.S.D.C. for the Southern and Eastern Districts of NY