Arthur B. Laby
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Education
J.D., Boston University School of Law
Summary of Experience
Professor Laby is an expert in corporate law, securities regulation, the regulation of investment management, and the fiduciary obligation. He has been retained as a consultant and expert witness, and he has testified in federal and state court, in arbitration hearings, and in Securities and Exchange Commission (SEC) administrative proceedings in matters involving issues such as investment suitability, fiduciary duty, the roles and responsibilities of broker-dealers and investment advisors, and conflict-of-interest transactions. Professor Laby has also opined on corporate law topics such as directors’ duties, insider trading, and piercing the corporate veil. He is coauthor of a multi-volume treatise titled The Regulation of Money Managers: Mutual Funds and Advisers. He has published book chapters and articles on topics such as the regulation of financial firms, the regulation of retirement advisors, and the duties and obligations of financial market participants in publications such as the Washington Law Review, the Florida Law Review, the Boston University Law Review, the Tulane Law Review, the Review of Banking and Financial Law, and The Business Lawyer. Professor Laby is a co-director of the Rutgers Center for Corporate Law and Governance and a director of the Japan Smaller Capitalization Fund, a closed-end management investment company listed on the NYSE. He previously served on the board of directors of the Certified Financial Planner Board of Standards, as chairman of the board of trustees of the SEC Historical Society, and as a member of an American Bar Association (ABA) task force that prepared the fourth edition of the ABA Fund Director’s Guidebook. Before joining the Rutgers faculty, Professor Laby served as SEC assistant general counsel, where he was responsible for investment management and international matters, and was in private practice.