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All articles tagged '"Securities Exchange Act"'
7 articles found
SEC Issues No-Action Letter Over Shareholder’s Mandatory Arbitration Proposal
By Beth Graham - February 21, 2019
A division of the United States Securities and Exchange Commission (“SEC”) has issued a no-action letter stating a New Jersey-based company, Johnson & Johnson, may omit a shareholder’s proposal to require mandatory arbitration of shareholder claims and prohibit class arbitration without becoming subject to an Agency enforcement action.
Couple Awarded $331,000 in Compensatory Damages Following FINRA Arbitration
By Beth Graham - July 14, 2016
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has reportedly ordered a wealth management adviser to pay a couple $331,000 in compensatory damages for making unsuitable, high-risk investments.
Uber-Ized Corporate Law: Toward a 21st Century Corporate Governance for Crowdfunding and App-Based Investor Communications
By Beth Graham - April 18, 2016
J. W. Verret, Assistant Professor of Law at George Mason University School of Law, has published an interesting article entitled “Uber-Ized Corporate Law: Toward a 21st Century Corporate Governance for Crowdfunding and App-Based Investor Communications,” Journal of Corporation Law, Vol. 41, No. 4, pp. 101, 2016; George Mason Law & Economics Research Paper No. 16-14.
Update on Arbitration Provisions in the Dodd-Frank Wall Street Reform Act
By Victoria VanBuren - February 24, 2012
As readers may recall, on July 21, 2010 President Barack Obama signed into law the Restoring American Financial Stability Act of 2010 (a.k.a. the “Dodd-Frank Wall Street Reform and Consumer Protection Act”). House Versions: H.R. 4173 and Congressional Actions. The final version of P.L. 111-517 (H.R. 4173) is here. The Act, whose goal was to “promote the financial stability of the United States by improving accountability and transparency in
SEC Commissioner Speaks on Mandatory Arbitration
By Victoria VanBuren - September 22, 2011
Via the Securities Law Prof Blog, we learned of SEC Commissioner’s Elisse B. Walter’s comments on mandatory securities arbitration at the 2011 annual NASAA Conference: Regardless of changes in the relationship between investors and the professionals to whom they turn for advice, disagreements will arise that need to be resolved quickly and fairly. Following the dictates of Dodd-Frank, the SEC intends to thoroughly review the mandatory arbitration
Wall Street Reform Signed Into Law: Arbitration Provisions
By Victoria VanBuren - July 29, 2010
As readers may already know, last week, President Barack Obama signed into law the Restoring American Financial Stability Act of 2010 (a.k.a. the “Dodd-Frank Wall Street Reform and Consumer Protection Act”). The act, among other things, would give the SEC the power to ban or limit mandatory arbitration in certain agreements. House Versions: H.R. 4173 and Status; Senate Versions: S.3217 and Status. The final version is here. Following are some pro
Financial Reform Bill Moves into House-Senate Committee: Limits on Predispute Arbitration Clauses
By Victoria VanBuren - June 14, 2010
In addition to the bills discussed in our recent post, the U.S. Congress is considering a major financial reform legislation. The Restoring American Financial Stability Act of 2010. As it relates to ADR, this legislation would give the SEC the power to ban or limit mandatory arbitration in certain agreements. House Versions: H.R. 4173 and Status; Senate Versions: S.3217 and Status. The most recent version of H.R. 4173 states, SEC. 921. AUTHORITY
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