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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. 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.

  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. Self-regulatory organization - Wikipedia

    en.wikipedia.org/wiki/Self-regulatory_organization

    The American Arbitration Association is also an SRO with official, statutory status.. Because of the prominence of the SROs in the securities industry, the term SRO is often used to narrowly to describe an organization authorized by statute or government agency to exercise control over a certain aspect of the industry.

  6. Arbitral tribunal - Wikipedia

    en.wikipedia.org/wiki/Arbitral_tribunal

    The London Court of International Arbitration. An arbitral tribunal or arbitration tribunal, also arbitration commission, arbitration committee or arbitration council is a panel of unbiased adjudicators which is convened and sits to resolve a dispute by way of arbitration.

  7. United States securities regulation - Wikipedia

    en.wikipedia.org/wiki/United_States_Securities...

    The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...

  8. AOL Mail

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  9. American Arbitration Association - Wikipedia

    en.wikipedia.org/wiki/American_Arbitration...

    The American Arbitration Association (AAA) is a non-profit organization focused in the field of alternative dispute resolution, providing services to individuals and organizations who wish to resolve conflicts out of court, and one of several arbitration organizations that administers arbitration proceedings.