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Full-Text Articles in Securities Law
Financing Our Future’S Health: Why The United States Must Establish Mandatory Climate-Related Financial Disclosure Requirements Aligned With The Tcfd Recommendations, Colin Myers
Pace Environmental Law Review
No abstract provided.
The Final Frontier: Are Class Action Waivers In Broker-Dealer Employment Agreements Enforceable?, Jill I. Gross
The Final Frontier: Are Class Action Waivers In Broker-Dealer Employment Agreements Enforceable?, Jill I. Gross
Elisabeth Haub School of Law Faculty Publications
How would a court resolve a broker-dealer's action to enforce its class action waiver, which would require the court to disregard FINRA Rule 13204? The Supreme Court has identified one exception to the FAA's mandate: if a “contrary congressional command” displaces the FAA. Thus far, the Court has not had occasion to examine whether a class action waiver in a broker-dealer's employment agreement with an employee is enforceable under this exception. While the Court seems very supportive of these waivers, the securities industry is different. Securities arbitration is heavily regulated, and pronouncements by the SEC--when exercising power expressly delegated to …
Too Close For Comfort: The Potential Dilemma Facing The Securities And Exchange Commission And The Public Accounting Oversight Board, David H. Roberts
Too Close For Comfort: The Potential Dilemma Facing The Securities And Exchange Commission And The Public Accounting Oversight Board, David H. Roberts
Pace Law Review
No abstract provided.