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Securities Arbitration 2013
Chair(s):
Sandra D. Grannum
Practice Area:
Corporate & Securities, Litigation
Published:
Aug 2013
ISBN:
9781402420443
PLI Item #:
42727
CHB Spine #:
B2043
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Preparing for Arbitration—Arbitration Before FINRA (May 28, 2013)
Chapter 2. Arbitration Practicum on Product Cases
Chapter 3. FINRA Rule 2111
Chapter 4. Regulatory Notice 11-02: Know Your Customer and Suitability
Chapter 5. Frequently Asked Questions FINRA Rule 2111 (Suitability)
Chapter 6. Regulatory Notice 12–25 (May 2012)
Chapter 7. Regulatory Notice 12–55 (December 2012)
Chapter 8. Expungement of Customer Complaint CRD Information Following Settlement of a FINRA Arbitration
Chapter 9. All Public Arbitrator Panels: A More Level Playing Field
Chapter 10. The Financial Industry Regulatory Authority’s Dispute Resolution Activities (May 1, 2013)
Chapter 11. Conflicts of Interest Between Current and Former Clients in Securities Cases
Chapter 12. Utilizing Managed Futures in Traditional Portfolios
Chapter 13. Arbitraton Case Law Update 2013 (May 20, 2013)
Chapter 14. Arbitration Award Vacatur in 2013: You Say Tomahto, I Say Tomato—You Say Manifest Disregard, I Say Exceeds Powers
Chapter 15. Determining Whether an Individual is a Firm’s Customer for Purposes of Compelling Arbitration: Recent Court Cases and FINRA Rules Fashion a New Standard (May 14, 2013)
Index
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