Arthur B. Laby
J.D., Boston University School of Law
Summary of Experience
Professor Laby is an expert in securities law, the regulation of investment management, and the fiduciary obligation. He has been retained as a consultant and expert witness, and he has testified both in court and in Securities and Exchange Commission (SEC) administrative proceedings in securities and corporate law matters involving issues such as investment suitability, fiduciary duty, the roles and responsibilities of broker-dealers and investment advisors, and conflict-of-interest transactions in the investment industry. Professor Laby is coauthor of a multi-volume treatise titled The Regulation of Money Managers: Mutual Funds and Advisers. He has published articles on topics such as the regulation of financial services firms, the regulation of retirement advisors, and the regulation of global financial firms 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 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 task force that prepared the fourth edition of the Fund Director’s Guidebook. Prior to joining the Rutgers faculty, Professor Laby served as assistant general counsel at the SEC, where he was responsible for investment management and international matters, and was in private practice.