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Keywords: Arbitration
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (3): 30–32.
Published: 13 September 2011
...S. Lawrence Polk; Avital Stadler Purpose The purpose of this paper is to explain FINRA's recent overhaul of the Discovery Guide for arbitrations. Design/methodology/approach THe paper explains the new Discovery Guide, the consolidated document production lists, and FINRA's modification...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (2): 16–18.
Published: 14 June 2011
...Bryan M. Ward Purpose The purpose of this paper is to explain the rule changes contained in the new SEC Rules 12402 and 12403, which now allow claimants to choose an arbitration panel made up entirely of public administrators. Design/methodology/approach This paper explains the background...
