Financial Industry Regulatory Authority of USA: history of establishment, status and role in solving financial arguing
( Pp. 231-234)
More about authors
Isai S.S.
aspirant. Podrazdelenie: kafedra grazhdanskogo prava i processa i mezhdunarodnogo chastnogo prava
Peoples’ friendship university of Russia
Peoples’ friendship university of Russia
Abstract:
The article is dedicated to research of Financial Industry Regulatory Authority of USA (FINRA) in sphere of studying and solving financial arguing by arbitration means. In order to more complete comprehension of FINRA role in regulating operations with documentary securities on USA territory, there is a short historical reference, the problem of that organization’s legal status is studied in the article. Separate attention is paid to legal state of financial arguing participants which are under FINRA arbitration, attributes of arguing which is to be forwarded to studying and solving by arbitration formed by FINRA rules.
How to Cite:
Isai S.., (2018), FINANCIAL INDUSTRY REGULATORY AUTHORITY OF USA: HISTORY OF ESTABLISHMENT, STATUS AND ROLE IN SOLVING FINANCIAL ARGUING. Gaps in Russian Legislation, 3 => 231-234.
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Ermakova E.P. Novye parametry razresheniya mezhdunarodnykh sporov // Trudy Instituta gosudarstva i prava RAN. 2017. Tom 12. №6. 6 .
Rusakova E.P. Al ternativnoe uregulirovanie finansovykh sporov v YAponii//// Sravnitel no-pravovye aspekty pravootnosheniy grazhdanskogo oborota v sovremennom mire: Sbornik statey Mezhdunarodnoy nauchno-prakticheskoy konferentsii pamyati prof.V.K. Puchinskogo 13 oktyabrya 2017 g. M. RUDN, 2017. S.69-77
Sitkareva E.V. Al ternativnoe uregulirovanie finansovykh sporov v Indonezii// Sravnitel no-pravovye aspekty pravootnosheniy grazhdanskogo oborota v sovremennom mire: Sbornik statey Mezhdunarodnoy nauchno-prakticheskoy konferentsii pamyati prof.V.K. Puchinskogo 13 oktyabrya 2017 g. M. RUDN, 2017. S.85-93
Frolova E.E. Mezhdunarodnye i vnutrennie finansovye spory: v chem otlichie // Sravnitel no-pravovye aspekty pravootnosheniy grazhdanskogo oborota v sovremennom mire: Sbornik statey Mezhdunarodnoy nauchno-prakticheskoy konferentsii pamyati prof.V.K. Puchinskogo 13 oktyabrya 2017 g. M. RUDN, 2017. 2 .
Black Barbara. Punishing Bad Brokers: Self-Regulation and FINRA Sanctions. URL: https://papers. ssrn.com/sol3/papers.cfm abstract id 2316918 4 .
Black Barbara Gross Jill I. Making It Up as They Go Along: The Role of Law in Securities Arbitration.
URL: https://papers.ssrn.com/sol3/papers.cfm abstr-act id 1032310 12 .
Born Gary B. Overview of International Commercial Arbitration - A. History of International Arbitration. International Commercial Arbitration (Kluwer Law International 2009) 1 .
Bullard Mercer E. The Fiduciary Study: A Triumph of Substance over Form URL: https://papers.ssrn.com/ sol3/papers.cfm abstract id 1669636 11 .
Chris Lazarini Analyzes Mandatory Arbitration Rule under FINRA Rule 12200. URL: http://www.bassberry. com/publications/2018/1/mandatory-arbitration-rule-under-finra-rule-12200 7 .
Dispute Resolution Statistics. URL: http://www.finra. org/arbitration-and-mediation/dispute-resolution-statistics 13 .
Goldman s Responses on Relations With Clients. URL: http://www.nytimes.com/2010/05/19/business/19-goldmanquestions.html 9
Hazen Thomas Lee. Stock Broker Fiduciary Duties and the Impact of the Dodd-Frank Act.
URL: https://papers.ssrn.com/sol3/papers.cfm abstr-act id 1767564 8 .
Karmel Roberta S. Is the Financial Industry Regulatory Authority a Government Agency
URL: https://papers.ssrn.com/sol3/papers.cfm abstr-act id 1018396 5 .
Pacella Jennifer M. If the Shoe of the SEC Doesn t Fit: Self-Regulatory Organizations and Absolute Immunity. URL: https://papers.ssrn.com/sol3/papers.cfm abstract id 2128688 14 .
Study on Investment Advisers and Broker-Dealers. As Required by Section 913 of the. Dodd-Frank Wall Street Reform and Consumer Protection Act 109 (2011). URL: http://www.sec.gov/news/studies/2011/913study-final.pdf 10 .
Artem eva YU.A., Ermakova E.P. , Kovyrshina N.A. Rusakova E.P. Razdel 3 Sposoby razresheniya publichnopravovykh sporov. Uchebnoe posobie: Sposoby razresheniya sporov v raznosistemnykh pravoporyadkakh . ID Infotronik . 2017 S.320-379
Keywords:
Financial Industry Regulatory Authority (FINRA), arbitration, financial disputes, arbitration, the securities market, economic activity, exchange trade, operations with securities.
