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Articles 1 - 12 of 12
Full-Text Articles in Law
The Customer's Nonwaivable Right To Choose Arbitration In The Securities Industry, Jill I. Gross
The Customer's Nonwaivable Right To Choose Arbitration In The Securities Industry, Jill I. Gross
Brooklyn Journal of Corporate, Financial & Commercial Law
Arbitration has been the predominant form of dispute resolution in the securities industry since the 1980s. Virtually all brokerage firms include predispute arbitration agreements (PDAAs) in their retail customer contracts, and have successfully fought off challenges to their validity. Additionally, the industry has long mandated that firms submit to arbitration at the demand of a customer, even in the absence of a PDAA.
More recently, however, brokerage firms have been arguing that forum selection clauses in their agreements with sophisticated customers (such as institutional investors and issuers) supersede firms’ duty to arbitrate under FINRA Rule 12200. Circuit courts currently are …
The Tenth Annual A. A. Sommer, Jr. Lecture On Corporate, Securities, & Financial Law, Elisse B. Walter
The Tenth Annual A. A. Sommer, Jr. Lecture On Corporate, Securities, & Financial Law, Elisse B. Walter
Fordham Journal of Corporate & Financial Law
No abstract provided.
Fin Rah!...A Welcome Change: Why The Merger Was Necessary To Preserve U.S. Market Integrity, Yesenia Cervantes
Fin Rah!...A Welcome Change: Why The Merger Was Necessary To Preserve U.S. Market Integrity, Yesenia Cervantes
Fordham Journal of Corporate & Financial Law
No abstract provided.
A "Tic"Ing Time Bomb: Rule 506 Meets Section 1031, Elizabeth A. Whitman
A "Tic"Ing Time Bomb: Rule 506 Meets Section 1031, Elizabeth A. Whitman
Fordham Journal of Corporate & Financial Law
No abstract provided.
The Fourth Annual Albert A. Destefano Lecture On Corporate, Securities &Financial Law, William Michael Treanor Introduction, Jill E. Fisch Introduction, Constantine N. Katsoris, John F.X Peloso Moderator, Brandon Becker, Robert Colby, Richard G. Ketchum, Mark E. Lackritz, Annette L. Nazareth, Mary L. Shapiro
The Fourth Annual Albert A. Destefano Lecture On Corporate, Securities &Financial Law, William Michael Treanor Introduction, Jill E. Fisch Introduction, Constantine N. Katsoris, John F.X Peloso Moderator, Brandon Becker, Robert Colby, Richard G. Ketchum, Mark E. Lackritz, Annette L. Nazareth, Mary L. Shapiro
Fordham Journal of Corporate & Financial Law
No abstract provided.
Brokers And Advisers – What’S In A Name?, Barbara Black
Brokers And Advisers – What’S In A Name?, Barbara Black
Fordham Journal of Corporate & Financial Law
No abstract provided.
Developing A Law/Business Collaboration Through Pace's Securities Arbitration Clinic, Jill I. Gross, Ronald W. Filante
Developing A Law/Business Collaboration Through Pace's Securities Arbitration Clinic, Jill I. Gross, Ronald W. Filante
Fordham Journal of Corporate & Financial Law
No abstract provided.
Missing The Mark: Nasd Rule 2711 And Nyse Rule 472 Mistakenly Emphasize Disclosure Rather Than Amending The Pleading Requirements Of Pslra, James J. Barney
Missing The Mark: Nasd Rule 2711 And Nyse Rule 472 Mistakenly Emphasize Disclosure Rather Than Amending The Pleading Requirements Of Pslra, James J. Barney
NYLS Law Review
No abstract provided.
Analyst Conflicts Of Interests: Are The Nasd And Nyse Rules Enough?, Karen Contoudis
Analyst Conflicts Of Interests: Are The Nasd And Nyse Rules Enough?, Karen Contoudis
Fordham Journal of Corporate & Financial Law
No abstract provided.
From Behind The Corporate Veil: The Outing Of Wall Street's Investment Banking Scandals - Why Recent Regulations May Not Mean The Dawn Of A New Day, Gina N. Scianni
From Behind The Corporate Veil: The Outing Of Wall Street's Investment Banking Scandals - Why Recent Regulations May Not Mean The Dawn Of A New Day, Gina N. Scianni
Fordham Journal of Corporate & Financial Law
No abstract provided.
New Competitors, Thomas Ryan, Mary M. Mcdermott-Holland, Arthur Kearney, Dennis Marino, Arthur Pacheco, James J. Mcdermott Jr.
New Competitors, Thomas Ryan, Mary M. Mcdermott-Holland, Arthur Kearney, Dennis Marino, Arthur Pacheco, James J. Mcdermott Jr.
Fordham Journal of Corporate & Financial Law
No abstract provided.
The Pros And Cons Of A Self-Regulatory Organization For Advisers And Mutual Funds, Tamar Frankel
The Pros And Cons Of A Self-Regulatory Organization For Advisers And Mutual Funds, Tamar Frankel
Faculty Scholarship
Congress is seriously considering bills to establish self-regulatory organizations (SROs) for investment advisers (advisers) and investment companies (Funds). These bills would require members of the investment management industry to regulate themselves under the watchful eye of the Securities and Exchange Commission, similar in approach to the regulation of broker-dealers by the National Association of Securities Dealers, Inc. (NASD) and the securities exchanges. Proposals to establish SRO for investment advisers have arisen before. However, those proposals did not cover Funds and their advisers,