NASD Arbitration: An Insider's Perspective
Alan J. Foxman of Alan R. Thomas, P.A.
Much has been written about the arbitration process since the U.S. Supreme Court upheld the validity of pre-dispute.
Amendments to NASD and NYSE Analyst Standards Rules
D. Grant Vingoe,Benjamin J. Catalano,Barri Lynn Bogner and Olufolasade Adamolekun of Dorsey & Whitney LLP
On July 29, 2003, the Securities and Exchange Commission ("SEC") approved the proposed rule changes by the National Association of Securities Dealers, Inc. ("NASD") and the New York Stock Exchange, Inc. ("NYSE") (together with other self-regulatory organizations, the "SROs") that further address research analyst conflicts of interest in connection with equity research reports, and are designed to achieve full compliance with the mandates of section 501 of the Sarbanes-Oxley Act of 2002 ("SOA").
NASD Arbitration of Securities Disputes
Donald R. McNeil
Since 2000, new case filings with National Association of Securities Dealers ("NASD") Dispute Resolution, Inc. are increasing at record levels.
Pre-Dispute Arbitration of Discrimination Claims
Jeffrey S. Klein,Nicholas J. Pappas and Janet Goldberg of Weil, Gotshal & Manges LLP
This article reviews the Desiderio v. National Association of Securities Dealers, Inc. case and examines the issues employers should be aware of in constructing mandatory pre-dispute arbitration programs.
Finding A Securities Broker
Law Offices of Steve A. Buchwalter
It's your money. Do you have reason to trust him/her and the company he/she works for? 1. What you should l.
NASD Adopts New Regulation For Arbitration Of Statutory Discrimination Claims.
Joshua Goodman of Paul, Hastings, Janofsky & Walker LLP
The National Association of Securities Dealers (NASD) just adopted regulations regarding the arbitration of statuto.
Removing Arbitrators in NASD Arbitrations
Alan J. Foxman of Alan R. Thomas, P.A.
It's happened to all of us. You're two days into a hotly contested arbitration hearing. You've battled your way p.
Update: The New Audit Committee Rules
Weil, Gotshal & Manges LLP
This update summarizes the new audit committee rules which took effect in the year 2000.
The Increasing Trend of Manufacturer/Dealer Litigation and Tips on Avoidance
Martin D. Beirne of Beirne, Maynard & Parsons, L.L.P.
Intense competition has led many motor vehicle manufacturers to re-focus their business plans and has raised their awareness of the customers' total experience, from sales to service. Manufacturers constantly encourage their dealers to improve their facilities and services and to position dealerships in the most desirable locations. Of course, manufacturers' regional and national strategies may not always coincide with the dealers' perception of local requirements or the dealers' financial objectives.
What Is Mediation And How Does It Work?
Joyce Ann Gates Mitchell of Joyce Ann Gates Mitchell Attorney at Law
Mediation is a procedure in which the parties discuss their disputes with the assistance of a trained impartial third person(s) who assists them in reaching a settlement. It may be an informal meeting among the parties or a scheduled settlement conference.
NASD Proposes New "Hot Issues" Rule
Sidley Austin LLP
The Securities and Exchange Commission (the "SEC") is soliciting comment on a proposed rule filed by the National A.
Questions You Should Ask About Your Investments
U.S. Securities and Exchange Commission
List of questions prepared by the Securities and Exchange Commission for consumers regarding what they should ask about their investments and what to do if they encounter problems.