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The Financial Industry Regulatory Authority is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect investors by making sure the United States securities industry operates fairly and honestly. As of October 2023, FINRA oversaw 3,394 brokerage firms, 149,887 branch offices ...
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]
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 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 ...
t. e. Arbitration is a formal method of dispute resolution involving a neutral third party who makes a binding decision. The third party neutral (the 'arbitrators', 'arbiters' or ' arbitral tribunal ') renders the decision in the form of an ' arbitration award '. An arbitration decision or award is legally binding on both sides and enforceable ...
The grant procedure before the European Patent Office (EPO) is an ex parte, administrative procedure, which includes the filing of a European patent application, [1] the examination of formalities, [2] the establishment of a search report, [3] the publication of the application, [4] its substantive examination, [5] and the grant of a patent, [6 ...
Criminal procedure is the adjudication process of the criminal law. While criminal procedure differs dramatically by jurisdiction, the process generally begins with a formal criminal charge with the person on trial either being free on bail or incarcerated , and results in the conviction or acquittal of the defendant .