FINRA arbitration and enforcement : a legal and practice guide
Resource Information
The work FINRA arbitration and enforcement : a legal and practice guide represents a distinct intellectual or artistic creation found in Biddle Law Library- University of Pennsylvania Law School. This resource is a combination of several types including: Work, Language Material, Continuing Resources.
The Resource
FINRA arbitration and enforcement : a legal and practice guide
Resource Information
The work FINRA arbitration and enforcement : a legal and practice guide represents a distinct intellectual or artistic creation found in Biddle Law Library- University of Pennsylvania Law School. This resource is a combination of several types including: Work, Language Material, Continuing Resources.
- Label
- FINRA arbitration and enforcement : a legal and practice guide
- Title remainder
- a legal and practice guide
- Statement of responsibility
- Mark S. Cohen, Lawrence T. Gresser, C. Evan Stewart, Daniel H. Tabak, Harvey B. Silikovitz (Cohen & Gresser LLP)
- Title variation
- Financial Industry Regulatory Authority arbitration and enforcement
- Language
- eng
- Summary
- "... examines proceedings involving the Financial Industry Regulatory Authority (FINRA) in its dual capacities as a forum for dispute resolution and as a securities industry regulator. The portfolio begins with a discussion of the FINRA arbitration process for the resolution of disputes between member firms, associated persons, and customers. Included is a review of the applicable arbitration codes, and an examination of prehearing matters, motion practice, hearings, and awards. This portion of the portfolio concludes with a discussion of the procedures for confirming, modifying and vacating arbitration awards. The portfolio then examines enforcement actions brought by FINRA against member firms and their associated persons. This chapter reviews FINRA investigations, the disciplinary proceeding process, and the procedures for appeals from or the review of decisions rendered in a FINRA disciplinary proceeding."
- Cataloging source
- BNA
- Characteristic
- updating web site
- Entry convention
- integrated entry
- LC call number
- KF1434
- LC item number
- .S43 no. 289
- Nature of contents
-
- dictionaries
- bibliography
- Regularity
- complete irregular
- Series statement
- Securities practice portfolio series
- Series volume
- portfolio 289
Context
Context of FINRA arbitration and enforcement : a legal and practice guideWork of
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