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Securities Arbitration 2017
Chair(s):
Sandra D. Grannum
Practice Area:
Corporate & Securities, Litigation
Published:
Sep 2017
ISBN:
9781402429910
PLI Item #:
186673
CHB Spine #:
B2352
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Arbitration Case Law Update 2017 (July 21, 2017)
Chapter 2. FINRA 2017 Priorities: Regulator Moves Away from “Culture of Compliance” (January 10, 2017)
Chapter 3. FINRA Dispute Resolution Update: 2017 Arbitration Reform (February 28, 2017)
Chapter 4. FINRA Proposes New Requirements to Address High-Risk and Recidivist Brokers (May 17, 2017)
Chapter 5. SEC Release No. 34-55431, Amendments to Financial Responsibility Rules for Broker-Dealers, File No. S7-08-07
Chapter 6. SEC Release No. 34-66910, Amendments to Financial Responsibility Rules for Broker-Dealers, File No. S7-08-07
Chapter 7. Third Amendment to Insurance Regulation 60
Chapter 8. Replacement of Life Insurance Policies and Annuity Contracts
Chapter 9. Former Insurance Agency Owner Pleads Guilty to Defrauding Clients Out of More Than $500,000
Chapter 10. PIABA: One Out of Three Investor Awards in FINRA Arbitration Go Unpaid, “National Recovery Pool” Needed to Remedy Problem (February 25, 2016)
Chapter 11. Release No. 34-66910, File No. S7-08-07, Amendments to Financial Responsibility Rules for Broker-Dealers (June 8, 2012)
Chapter 12. Regulatory Notice 17-06: Communications with the Public
Chapter 13. Regulatory Notice 11-21: Fidelity Bonds
Chapter 14. Regulatory Notice 09-42: Variable Life Settlement Transactions
Chapter 15. Regulatory Notice 08-39: Variable Insurance Products
Chapter 16. Appendix 1: Survey of FINRA Dispute Resolution Arbitration Awards Expungement Requests in Public Customer Awards—Review Period: January 1, 2013 to June 30, 2017
Chapter 17. Appendix 2: Survey of FINRA Dispute Resolution Arbitration Awards Expungement Requests in Public Customer Awards, Post-Settlement Awards—Review Period: January 1, 2013 to June 30, 2017
Chapter 18. Regulatory Notice 17-13: Sanction Guidelines
Chapter 19. Post-Settlement Expungements: An Investor Protection Problem That Continues to Wait for a FINRA Solution
Chapter 20. The Financial Industry Regulatory Authority’s Dispute Resolution Activities (Revised July 19, 2017)
Chapter 21. Ethical, Practical, and Legal Considerations for Litigating Against Pro Se Parties in Securities Arbitration Hearings
Chapter 22. Assessing Damages in Bond Cases
Chapter 23. Challenging Expungements After Settlements
Chapter 24. Legal Ethics and an Aging Population: Securities Practitioners’ Roles in Preventing Financial Exploitation of the Elderly (Updated 2017)
Chapter 25. Regulatory Notice 17-11: Financial Exploitation of Seniors
Chapter 26. Report on the FINRA Securities Helpline for Seniors
Chapter 27. Lifting the Veil: A Practicum on Insurance Issues in Dispute Resolution
Chapter 28. Insurance Policy Twisting
Chapter 29. Insurance Issues in Arbitration and Mediation
Chapter 30. The DOL’s Best Interest Contract Requirement: Effect on Litigation Against Broker-Dealers (July 21, 2017)
Index
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