Ronald H. Filler
Ronald H. Filler is an expert in the area of financial services law. He joined the faculty in 2008 as a Professor of Law and the Director of the Financial Services Law Institute. He is also the Director of the LL.M. in Financial Services Law Graduate Program, which now offers more than 40 courses involving various aspects of the global financial services industry.
Professor Filler teaches several courses for both LL.M. and JD students including Derivatives Market Regulation; International Financial Services Law; Regulation of Broker-Dealers and Futures Commission Merchants; Financial Services Seminar and Workshop; and Regulatory Policy and Advanced Research Seminar. Professor Filler has also arranged for many NYLS students to serve as externs at some of the leading financial institutions and financial regulatory governmental agencies, giving them important first hand experiences regarding the practice of law in this highly complex area. He has taught several courses on derivatives law at three other U.S. law schools, the first such course was taught in 1977 at the Chicago-Kent College of Law. At Chicago-Kent, he was the Founder and Director of the Commodities Law Institute, which was the leading CLE provider on Futures Law between 1978 and 1995.
Before joining the NYLS faculty in the spring of 2008, Professor Filler was a Managing Director in the Capital Markets Prime Services Department at Lehman Brothers where he had principal responsibilities over a variety of business and regulatory matters. Before joining Lehman Brothers in 1993, he was a Partner and Member of the Executive Committee of Vedder Price Kaufman & Kammholz, a large Chicago-based law firm. He has spoken at several hundred conferences and seminars involving various financial regulatory issues, with a special emphasis on the Dodd Frank Act that was enacted by Congress in 2010 and its impact on the financial community and the public.
Professor Filler currently serves as an Independent Public Director of the National Futures Association, the industry’s self-regulatory organization, and of NYSE Liffe US, a futures exchange majority owned by the New York Stock Exchange. He serves on the Regulatory Oversight Committee (ROC) at this exchange. At the NFA, he has chaired a Special Committee, which oversaw the audit practices and policies of NFA, which is the primary regulatory auditor of most financial institutions involved in derivatives, and serves on several other NFA committees. Professor Filler is also the Chair of the Global Markets Advisory Committee of the U.S. Commodity Futures Trading Commission, the U.S. federal regulatory agency that oversees the derivatives markets. Throughout his 35+ years in the futures/derivatives area, he has served on several boards and advisory committees of U.S. exchanges and clearinghouses and other industry organizations.
Finally, Professor Filler has written extensively on several issues involving the financial services industry, with a special emphasis on customer asset protections.
Co-Author of a Casebook on the “Regulation of Financial Derivative Instruments (Swaps, Options and Futures)”, Published by West Academic (May 2014)
Co-Author of the Teacher’s Manual to “Regulation of Derivative Financial Instruments (Swaps, Options and Futures), Published by West Academic (May 2014)
Co-Author of Ask The Professors: What is the Impact of the Recent DC Court’s Opinion in SIFMA et al, v. CFTC on the CFTC’s Cross-Border Guidance?”, to be published in the October 2014 issue of the Futures & Derivatives Law Report.
Ask the Professor: Did the 7th Circuit Properly Rule in Sentinel II?, 35 Fut. & Deriv. L. Rep. (April 2014)
Co-Author of “Ask the Professors: Did the European Court of Justice Properly Rule By Dismissing the U.K.’s Attempt to Annul ESMA’s Regulation Banning Short Selling?, 34 Fut. & Deriv. L. Rep. 25 (March 2014)
Ask the Professor: How Will The Seventh Circuit Rule In Sentinel II?,33 Fut. & Deriv. L. Rep 21 (November 2013)
Ask the Professor: What Is The Impact on MF Global From The Recent UK Supreme Court Decision Involving Lehman Brothers International (Europe)? 32 Fut. & Deriv. L. Rep. 1 (April 2012)
Ask the Professor: “OMG! What Did MF Global Do?”, 31 Fut. & Deriv. L. Rep. (November 2011)
Consumer Protection: How U.K. Client Money Rules Differ From U.S. Customer Segregated Rules When A Custodian Firm Fails To Treat Customer Property Properly, 24 Journal of Taxation and Regulation of Financial Institutions 25 (May/June 2011)
Ask the Professor: Portfolio Margining – How Will Dodd-Frank Impact Its Utilization?, 30 Fut. & Deriv. L. Rep. 8 (November 2010)
Ask the Professor: What Is Margin And How Is It (Or Should Be) Determined? 29 Fut. & Deriv. L. Rep. 15 (March 2009)
Ask the Professor: Who Has, Or Who Should Have, Jurisdiction Over CDS Clearing?, 29 Fut. & Deriv. L. Rep., 11 (January 2009)
Are Customer Segregated/Secured Amount Funds Properly Protected After Lehman?, 28 Fut. & Deriv. L. Rep. 1 (November 2008)
Ask the Professor: Give-Ups After Griffin — What Changes are Needed Now? 19 Fut. & Deriv. L. Rep. 1 (March 1999)