After the panel is appointed, an Initial Prehearing Conference is scheduled. During this prehearing meeting, the panel will set discovery, briefing and motions deadlines, schedule subsequent hearing sessions, and address other...
wex articles
Securities Dispute Resolution: Prehearing
PREHEARING CONFERENCES
Securities Dispute Resolution: Response
After the complaining party, or claimant, files a Statement of Claim and pays the required fees, the opposing party, or respondent, is served with the Statement of Claim, and a cover letter explaining the arbitration process and setting a time for...
Securities Dispute Resolution: Selecting Arbitrators
Arbitration Panel Size
An arbitration panel consists of either one or three arbitrators. The Financial Industry Regulatory Authority (FINRA) provides that the number of arbitrators shall depend on the amount in controversy. Where the amount of a...
Securities Exchange Act of 1934
The Securities and Exchange Act of 1934 ("1934 Act," or "Exchange Act") primarily regulates transactions of securities in the secondary market. As such, the 1934 Act typically governs transactions which take place between parties which are...
securities law history
Why Regulate Securities?
The development of federal securities law was spurred by the stock market crash of 1929, and the resulting Great Depression. In the period leading up to the stock market crash, companies issued stock and...
segregation
Segregation is the action of separating people, historically on the basis of race and/or gender. Segregation implies the physical separation of people in everyday activities, in professional life, and in the exercise of civil rights.
...self regulatory organization
Although the Securities Exchange Act of 1934 ("Exchange Act") lays out a comprehensive registration process and reporting scheme, the Act makes it clear that the Securities and Exchange Commission ("SEC") does not single-handedly ensure industry...
self-incrimination
Self-incrimination is the intentional or unintentional act of providing information that will suggest your involvement in a crime, or expose you to criminal prosecution.
The Fifth Amendment provides protection to individuals...
sentencing
sentencing: an overview
A criminal sentence refers to the formal legal consequences associated with a conviction. Types of sentences include probation, fines, short-term incarceration, suspended sentences, which only take effect if the convict fails...
settler colonialism
The concept of settler colonialism can be defined as a system of oppression based on genocide and colonialism, that aims to displace a population of a nation (oftentimes indigenous people) and replace it with a new settler population. Settler...