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International Investors’ Rights and Remedies ( April 2006 )
The globalization of markets, the internationalization, merger and consolidation of major investment firms, the joinder of commercial and investment banking and the interest of international public investors in utilizing the services of reputable, brand-name brokers, has contributed to a concomitant increase in customer claims filed in arbitration by both domestic and international investors. [FN1] Yet, in practice, very few defrauded international investors who do business with United States securities and commodity futures firms through branch offices based both outside of and within the U.S., appear to be aware of their rights and remedies. -
Arbitration Showdown ( July 2003 )
Financial planners may have to defend themselves against a whole range of client claims. However, all disputes originate from one or more of five key failings: failure to know and understand the client, failure to make full and timely disclosure of material information, failure to make a contemporaneous record of events, failure to supervise staff adequately, and failure to anticipate problems. Advisers who grasp these implications will spend more time working with satisfied clients and less time involved in expensive arbitration proceedings. -
NASD Arbitration of Securities Disputes ( January 2004 )
Since 2000, new case filings with National Association of Securities Dealers ("NASD") Dispute Resolution, Inc. are increasing at record levels. -
Arbitration for the Uninitiated ( October 2003 )
A record number of new cases have been filed with the National Association of Securities Dealers Dispute Resolution since 2000. The NASD is the leading private-sector provider of financial regulatory services. Nearly all securities firms in the United States are members of this private not-for-profit organization. The NASD establishes rules to govern the conduct of its members, registers firms, conducts compliance examinations, and disciplines members that fail to operate in accordance with its regulations. -
SEC Adopts Final Rule on Requirements for Listing Company Audit Committees ( April 2003 )
The SEC has adopted final rules directing national securities exchanges and national securities associations to prohibit the listing of securities of issuers not in compliance with the audit committee requirements of the Sarbanes-Oxley Act of 2002. -
NYSE and Nasdaq Revised Listing Standards for Director Independence ( April 2003 )
In March 2003 the New York Stock Exchange (NYSE) and the National Association of Securities Dealers, Inc., through its subsidiary, The Nasdaq Stock Market, Inc. (Nasdaq), submitted to the Securities and Exchange Commission (SEC) proposed listing standards related to board composition and director independence. The proposed listing standards will affect the composition of the boards of directors and audit committees of listed companies and will impact the individual members of the board. -
SEC Open Meeting: SEC Votes to Propose Rules for Audit Committees under Sarbanes-Oxley ( January 2003 )
The SEC voted today to propose a rule that would direct national securities exchanges and national securities associations (collectively referred to as selfregulatory organizations or "SROs") to prohibit the listing of any security of an issuer, domestic or foreign, that is not in compliance with the audit committee requirements of Section 301 of the Sarbanes-Oxley Act of 2002. The proposals would implement the requirements of Section 10A(m)(i) of the Securities Exchange Act of 1934, as added by Section 301 of the Act. -
Trading In Hot Equity Offerings ( June 2000 )
The NASD has filed a proposal with the SEC to create a new rule dealing with Trading in Hot Equity Offerings, Rule 2790. -
Finding A Securities Broker ( July 2000 )
It's your money. Do you have reason to trust him/her and the company he/she works for? 1. What you should l.
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