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Securities Law Research Guide: SROs & ARBITRATIONS

Statutes, regulations, treatises, and other sources of securities law


Self-regulatory organizations (SROs) are non-governmental bodies that enforce fair, ethical, and efficient practices in the securities and commodity futures industries, including all national securities and commodities exchanges and the Financial Industry Regulatory Authority (FINRA). FINRA was created in 2007 through a merger of the enforcement arms of the former New York Stock Exchange and the National Association of Securities Dealers. FINRA oversees operations of broker-dealers and dispute resolution procedures involving securities, FINRA rules are developed with SEC regulation and are subject to the federal regulatory process.
   - from and John C. Coffee, Jr. & Hillary A. Sale, Securities Regulations Cases and Materials (12th ed. 2012).




Overview of the Securities Arbitration Process

"Arbitration Case Law Update 2013," Jill Gross (May 20, 2013).

"Arbitration Case Law Update 2014," Jill Gross & Olivia Darius (Feb. 23, 2015).

"Arbitration Case Law Update 2015," Jill Gross (May 30, 2015).

"Arbitration Case Law Update 2016," Jill Gross (Oct. 10, 2016).

Consumer Financial Protection Bureau (CFPB), Final Rule: Arbitration Agreements - the Arbitration Agreements Rule would have prohibited mandatory arbitration clauses in certain consumer contracts. On Nov. 1, 2017, however, President Trump signed a congressional joint resolution disapproving the rule under the Congressional Review Act (CRA). On Nov. 22, 2017, the CFPB published a notice removing the Arbitration Agreements Rule from the Code of Federal Regulations. Materials relating to the Arbitration Agreements Rule remain on the CFPB website for reference only.


Maureen A. Weston. Kristen M. Blankley, Jill I. Gross & Stephen Huber, Arbitration: Law, Policy, and Practice (2018) (KF9085 .G76).

Jill Gross, The Historical Basis of Securities Arbitration as an Investor Protection Mechanism,  J. Disp. Resol.171 ((February 7, 2016) (available at SSRN).

Jason R. Doss, The Practitioner's Guide to Securities Arbitration (ABA 2013) ( KF1070.5 .D67).

W. Reece Bader, Securities Arbitration: Practice and Forms (2015) (KF1070 .S38).

Seth E. Lipner & Joseph C. Long, Securities Arbitration Desk Reference (available on Westlaw).


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