Ronald H. Filler

Professor of Law
Director, Graduate Program in Financial Services Law

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.

 

REGULATION OF DERIVATIVE FINANCIAL INSTRUMENTS (SWAPS, OPTIONS AND FUTURES): CASES AND MATERIALS. (West Academic, 2014) (with J.W. Markham).

TEACHER’S MANUAL, REGULATION OF DERIVATIVE FINANCIAL INSTRUMENTS (SWAPS, OPTIONS AND FUTURES): CASES AND MATERIALS. (West Academic, 2014) (with J.W. Markham).

Newspaper Articles, Practice Materials and Other Publications

Ask the Professor: Did the 7th Circuit Properly Rule in Sentinel II?, 34 FUTURES & DERIVATIVES LAW REPORT 20-28 (May 2014).

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 FUTURES & DERIVATIVES LAW REPORT 25-32 (March 2014) (with E. Ritter).

Ask the Professor: How Will The Seventh Circuit Rule In Sentinel II?, 33 FUTURES &DERIVATIVES LAW REPORT 21-34 (November 2013).