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Articles 1 - 7 of 7
Full-Text Articles in Law
Applying The Eligibility Rule In Securities Arbitration: Resolving Circuit Court Conflict Regarding The Proper Role Of Arbitrators And Courts - Howsam V. Dean Witter Reynolds, Inc., James D. Hughes
Journal of Dispute Resolution
In Howsam v. Dean Witter Reynolds, Inc., the United States Supreme Court reviewed a Tenth Circuit holding that the eligibility rule presented a question of arbitrability, and was thus for the court to decide. Reversing, the Supreme Court held that the arbitrator, not a court, should apply the time limit rule. The Court's decision resolves the split among the circuit courts in addition to allowing arbitration clauses in securities firms' client agreements to serve their purpose of providing an efficient and less costly method of litigating disputes relating to investment accounts, ultimately increasing investor confidence in the securities industry.
A Tangled Web: Compliance Director Liability Under The Securities Laws, Anthony Pirraglia
A Tangled Web: Compliance Director Liability Under The Securities Laws, Anthony Pirraglia
Fordham Journal of Corporate & Financial Law
No abstract provided.
The Private Securities Law Reform Act: Is It Working?, Hon. Edward R. Becker, Hon. Milton I. Shadur, Jill E. Fisch, Gregory P. Joseph
The Private Securities Law Reform Act: Is It Working?, Hon. Edward R. Becker, Hon. Milton I. Shadur, Jill E. Fisch, Gregory P. Joseph
Fordham Law Review
No abstract provided.
Securities Law: Section 307 Of The Sarbanes-Oxley Act: Irreconcilable Conflict With The Aba's Model Rules And The Oklahoma Rules Of Professional Conduct?, Jennifer Wheeler
Securities Law: Section 307 Of The Sarbanes-Oxley Act: Irreconcilable Conflict With The Aba's Model Rules And The Oklahoma Rules Of Professional Conduct?, Jennifer Wheeler
Oklahoma Law Review
No abstract provided.
Securities Class Action Settlements [Empirical Analysis], Mukesh Bajaj, Sumon C. Mazumdar, Sumon C. Mazumdar
Securities Class Action Settlements [Empirical Analysis], Mukesh Bajaj, Sumon C. Mazumdar, Sumon C. Mazumdar
Santa Clara Law Review
No abstract provided.
The Internet Direct Public Offering: Establishing Trust In A Disintermediated Capital Market, Jason Trainor
The Internet Direct Public Offering: Establishing Trust In A Disintermediated Capital Market, Jason Trainor
Canadian Journal of Law and Technology
Whereas the process of financial intermediation was once human capital and relationship intensive, it is now heavily influenced by technological innovation and consumer demand, factors which have tended to disrupt the monopoly power of financial intermediaries. Technological innovation alone, however, is not sufficient to replace the institutions and actors that previously dominated the market for public offerings; rather, the concept of disintermediation by definition creates a vacuum that must be filled. Law firms and other intermediaries can create additional value for their clients by assuming some or all of the tasks currently apportioned to investment bankers in the public offering …
Multinational Enforcement Of U.S. Securities Laws: The Need For The Clear And Restrained Scope Of Extraterritorial Subject-Matter Jurisdiction., Kun Young Chang
Multinational Enforcement Of U.S. Securities Laws: The Need For The Clear And Restrained Scope Of Extraterritorial Subject-Matter Jurisdiction., Kun Young Chang
Fordham Journal of Corporate & Financial Law
No abstract provided.