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Full-Text Articles in Securities Law
The Challenge Of Fiduciary Regulation: The Investment Advisors Act After Seventy-Five Years, Roberta S. Karmel
The Challenge Of Fiduciary Regulation: The Investment Advisors Act After Seventy-Five Years, Roberta S. Karmel
Brooklyn Journal of Corporate, Financial & Commercial Law
Seventy-five years after its enactment the Investment Advisers Act of 1940 has advanced from a relatively weak statute merely registering advisers with the Securities and Exchange Commission (SEC) to a more robust law imposing fiduciary responsibilities on advisers. Over the years, the number of investment advisers and the number of their clients have increased greatly. The SEC therefore has been pressured by Congress to develop a harmonized fiduciary standard for broker-dealers and advisers and also to develop and enforce a greater degree of oversight over the advisory industry. These developments have raised the questions of how to fund such efforts …
The Effect Of The Dodd-Frank Act On Arbitration Agreements: A Proposal For Consumer Choice, Catherine Moore
The Effect Of The Dodd-Frank Act On Arbitration Agreements: A Proposal For Consumer Choice, Catherine Moore
Pepperdine Dispute Resolution Law Journal
The article presents information on the security in the markets and the regulatory reform as passed by the U.S. Congress. The impact of recession on the American economy and the destruction of public and private wealth are considered. The enactment of Dodd Frank Wall Street Reform and Consumer Protection Act and the executive compensations are discussed. The case law related to arbitration of disputes related to security and the need of law reform is also discussed.