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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 ...
Selling away. Selling away in the U.S. securities brokerage industry is the inappropriate practice of an investment professional (such as a registered representative, stockbroker, or financial adviser) who sells, or solicits the sale of, securities not held or offered by the brokerage firm with which he is associated (affiliated). [1]
The French code of criminal procedure (French: Code de procédure pénale) is the codification of French criminal procedure, "the set of legal rules in France that govern the State's response to offenses and offenders". [1] It guides the behavior of police, prosecutors, and judges in how to deal with a possible crime.
United States appellate procedure involves the rules and regulations for filing appeals in state courts and federal courts. The nature of an appeal can vary greatly depending on the type of case and the rules of the court in the jurisdiction where the case was prosecuted. There are many types of standard of review for appeals, such as de novo ...
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. It applies in both state courts and ...
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. In practice, arbitration ...
The Federal Rules of Appellate Procedure (officially abbreviated Fed. R. App. P.; colloquially FRAP) are a set of rules, promulgated by the Supreme Court of the United States on recommendation of an advisory committee, to govern procedures in cases in the United States Courts of Appeals .
Leapfrog appeal. In legal procedure, a leapfrog appeal is a special and relatively rare form of appeal in which a case is appealed directly from a lower court to a higher court, skipping an intermediate appellate court. For example, in England & Wales, an appeal from the High Court to the Supreme Court, thereby skipping the Court of Appeal.