NASD FILES “PERINO REPORT” AMENDMENTS: Responding to the Perino Report, NASD seeks revisions on arbitrator disclosure and removal standards, plus it is narrowing its “public” and “non-public” arbitrator classifications. The amendments NASD proposes to Rules 10308 and 10312 parallel those we described in last week’s report on NYSE’s rule changes […]
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NYSE Arbitrator Selection Pilot Ending – SECLaw.com news
]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives NYSE Arbitrator Selection Pilot Ending With only 15% of the cases using the alternatives, should the program be extended? NYSE PILOT ON ARB SELECTION: A two-year pilot program at the New York Stock Exchange […]
NYSE Comments on California Suit – Securities Law News Update, From the Securities Law Home Page
]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives NYSE Statements on California Arbitration Comments on the Perino Report and the California Court Decision NYSE STATEMENTS RE CALIFORNIA ARBITRATION: Posted on the NYSE Arbitration WebSite are two new statements, one of which responds […]
NYSE Awards 10/02
Thirty Awards, Including a 9 Million Dollar Member-Member Award, and a Loss for a Customer in An Employee Stock Option Case Against Goldman NYSE AWARDS, 10/02: Among the 30 Awards released by the New York Stock Exchange’s Arbitration Department for the month of October 2002 were Awards depicting all types […]
NYSE Arbitration Awards – Securities Law News Update, From the Securities Law Home Page
]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives NYSE Award Roundup – Feb. 2002 Twenty New Awards, Ten Awarding Damages to Customers Twenty Awards issued from the New York Stock Exchange’s Arbitration Department in February, ten of which awarded Claimants damages on […]
NYSE Awards 02/03 From the Securities Law Home Page
]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives NYSE Awards of Note – 02/03 ML Media Cases, Broker Cross Claims against Settling BD and more NYSE AWARDS, 2/03: 24 of the 28 Awards issued by the Exchange in this monthly period were […]
nasdunpaidawardapprove0204.htm
]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives NASD Unpaid Arbitration Award Rule Approved Membership approval will include review of unpaid awards, and more. A Rule proposal regulating the membership application process will make it more difficult for brokerage firms and associated […]
NASD Arbitration Award Vacature Statistics
NASD Vacature Statistics Reveal Surprises More attempts to vacate, higher success rate revealed As a consequence of NASD’s efforts to track payment of the arbitration Awards it issues, statistics are now available that indicate the incidence with which Awards favoring customers are challenged and how often those challenges meet with […]
SEC Rejects Exemptive Order Hearing Request
S&P’s Request regarding Vanguard’s application is denied. By John M. Baker, Esq. When the SEC is ready to grant an exemptive order under the Investment Company Act of 1940, it first issues a notice in which it states that an order granting the application will be issued unless the Commission […]
SEC Releases Reg FD Impact Report
]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives SEC Releases Reg FD Impact Report Rule working, modifications suggested By John M. Baker, Esq. SEC Commissioner Laura Unger, in one of her last acts before stepping down as a Commissioner at the end […]
