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  2. Financial Industry Regulatory Authority - Wikipedia

    en.wikipedia.org/wiki/Financial_Industry...

    The NASD was founded on September 3, 1936 as Investment Bankers Conference, Inc. [9] and, on August 7, 1939, was registered under the name National Association of Securities Dealers, Inc. [10] as a national securities association with the SEC under authority granted by the 1938 Maloney Act amendments to the Securities Exchange Act of 1934, [11] which allowed it to supervise the conduct of its ...

  3. Manning rule - Wikipedia

    en.wikipedia.org/wiki/Manning_rule

    The term Manning rule is the informal name for a financial industry rule in the United States: Financial Industry Regulatory Authority (FINRA) regulation, Rule 5320. It prohibits a FINRA member firm from placing the firm's interest before/above the financial interests of a client.

  4. United States Arbitration Association - Wikipedia

    en.wikipedia.org/wiki/United_states_arbitration...

    USADR was founded in 2005 in Colorado to offer arbitration and mediation services under the name Colorado Mediators & Arbitrators. [2] The original Rules of Procedure were drafted by an attorney whose primary experience was as a NASD investigator. Its predecessor, Vision Mediation Group, LLC (2003-2005), limited ADR services to mediation.

  5. Arbitration in the United States - Wikipedia

    en.wikipedia.org/wiki/Arbitration_in_the_United...

    Arbitration, in the context of the law of the United States, is a form of alternative dispute resolution.Specifically, arbitration is an alternative to litigation through which the parties to a dispute agree to submit their respective evidence and legal arguments to a third party (i.e., the arbitrator) for resolution.

  6. Arbitral tribunal - Wikipedia

    en.wikipedia.org/wiki/Arbitral_tribunal

    ad hoc arbitration proceedings are those in which the arbitrators are appointed by the parties without a supervising institution, relying instead on the rules that have been agreed upon by the parties and/or procedural law and courts of the place of arbitration to resolve any differences over the appointment, replacement, or authority of any or ...

  7. Federal Arbitration Act - Wikipedia

    en.wikipedia.org/wiki/Federal_Arbitration_Act

    The United States Arbitration Act (Pub. L. 68–401, 43 Stat. 883, enacted February 12, 1925, codified at 9 U.S.C. ch. 1), more commonly referred to as the Federal Arbitration Act or FAA, is an act of Congress that provides for non-judicial facilitation of private dispute resolution through arbitration.

  8. Arbitration - Wikipedia

    en.wikipedia.org/wiki/Arbitration

    Night Baseball Arbitration is a variation of baseball arbitration where the figures are not revealed to the arbitration tribunal. The arbitrator will determinate the quantum of the claim in the usual way, and the parties agree to accept and be bound by the figure which is closest to the tribunal's award.

  9. Series 7 exam - Wikipedia

    en.wikipedia.org/wiki/Series_7_Exam

    In the United States, the Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for entry-level registered representatives, that demonstrates competency to buy or sell security products such as corporate securities, municipal securities, options, direct participation programs, investment company products and variable contracts.