arbitration investment & finance definition
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A binding dispute-resolution process in which an impartial person or group of people hear the facts and decides how the matter should be resolved. Arbitration has the effect of a court order.
Arbitration, Challenging a Decision, SEC Role
The SEC cannot act on behalf of individual investors in any arbitration proceeding and cannot overturn or change an arbitrator's decision. In addition, arbitration decisions are not subject to appeal.
Arbitration Committee
Arbitration is a combination of several operations for a profit without risk (in theory) by taking advantage of the only flaws that may occur between different markets.
Arbitration
This is an outside court settlement of financial disputed by two parties. It is also known as alternative dispute resolution (ADR) where decision is given by a third party which is legally binding to both parties.
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Arbitration
A process for settling disputes between parties that is less structured than court proceedings. NFA's arbitration program provides a forum for resolving futures-related disputes between NFA members or between NFA members and customers.
Arbitration
Arbitration often allows you to resolve disputes more quickly and cheaply than by going to court. Instead of judges or juries, arbitrators decide if wrongdoing occurred and how to correct or compensate you for it.
As an alternative to judges or courts settling disputes between consumers and businesses, binding arbitration works out a deal through an independent, third party body.
Arbitration - A method of settling a dispute by utilizing an impartial individual or individuals.
Arbitration: A method of settling disputes. The parties present their arguments to a panel of one or more arbitrators who will render a decision. There are no appeals from arbitration.
Arbitration - Disputes between members, or between members and customers.
Ask - indicates a willingness to sell a futures contract at a given price.
The following terms will appear in the glossary soon: ...
Arbitration
A low-cost alternative to settling disputes over securities transactions in the court system.
Arms Indicator ...
ARBITRATION - A system for resolving disputes in which two parties who have a disagreement involving the municipal securities activities of a broker-dealer may submit the disagreement to an impartial panel for resolution.
Arbitration
Arbitration is a way to resolve conflicts between parties or individuals, and may be considered a middle ground between the more cooperative, informal nature of mediation and the more expensive, involved, ...
Arbitration
Arbitration is a quasi-judicial process to resolve a dispute which is faster and inexpensive. The stock exchange facilitates the process of arbitration between the member and their clients.
Arbitration
Settlement of claims differences or disputes between one member and another and between a member and his clients, authorised clerks, sub-brokers etc., through appointed arbitrators.
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Arbitration And Jurisdiction
Jurisdiction and arbitration for any and all legal disputes shall be settled in Durban magistrate's court, South Africa. TradeJuice.com does not accept any liability for loss or damage regardless of the entity or reason.
Arbitration
The process of settling disputes between parties. NFA's arbitration program provides a forum for resolving futures-related disputes between members or between members and customers.
Arbitration Panel ...
American Arbitration Association ADR
See American Depositary Receipt Advanced Computerized Execution System (ACES) ...
Now, I am going to arbitration.
Rick, not sure I can agree with your article on Cramer/SODA. 1st, Cramer never recommended the stock. He specifically said we need to wait and see on this one.
Arbitration: A forum for the fair and impartial settlement of disputes that the parties involved are unable to resolve between themselves. The NFA's arbitration program provides a forum for resolving futures-related disputes.
mediation An informal and voluntary process intended to resolve conflicts, without resorting to any formal arbitration or litigation. Medicaid A federal and state-funded program, paying for medical care for those who are unable tot afford it.
British Columbia International Commercial Arbitration Centre (BCICAC)
An arbitration centre established to resolve business disputes that have not been resolved through normal channels.
If it proves impossible to arrive at a mutually satisfactory solution through mediation, we agree to submit the dispute to binding arbitration at the following location: Houston, under the rules of the American Arbitration Association.
Likewise, the NFA has an Arbitration/Mediation program that helps FCM's and their clients resolve disputes. For more information, just head on over to the NFA's website.
Good Trading Habits ...
When opening a new account, the brokerage firm may ask you to sign a legally binding contract to use the arbitration process to settle any future dispute between you and the firm or your sales representative.
Securities Industry Committee on Arbitration (SICA)
A private group that provides mediation services in case of customer complaints against securities firms.
A trade pact ratified in 1994 that cut tariffs world-wide, reduced agricultural subsidies, standardized copyright and patent protection and set up arbitration panels. GATT was also an institution that oversaw international trade issues.
The exchange is required to resolve all the complaints. To resolve the dispute, the complainant can also resort to arbitration as provided on the reverse of contract note/purchase or sale note.
How the trade/settlement takes place ...
Baskets usually play a big role in hedging, index arbitration, and program trading. A country basket allows investors to hold several stocks in his portfolio and not subject him to numerous transactional costs, and /or multiple securities.
- Scam artists: All legitimate brokerages must be registered with the National Futures Association with a list of all complaints, sanctions and arbitrations.
The NFA oversees and protects investors from fraudulent commodities and futures activities. The NFA also provides mediation and arbitration for resolving consumer complaints.
Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, ...
Holy Roman Empire Â- League of Nations Â- Permanent Court of International Justice Â- Nuremberg Trials Â- Tokyo trials Â- Permanent Court of Arbitration Â- Greater East Asia Co-Prosperity Sphere
Concept
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(d) speculative position limits;
(e) FCM/IB regulations;
(f) CPO/CTA disclosure documents, promotional material and records to be maintained;
(g) arbitration procedures;
(h) NFA disciplinary procedures.
While most complaints against brokers are handled through FINRA arbitration, if you are considering legal action against a sales representative/broker or brokerage firm you should consult an attorney with experience in securities law.
of Securities Dealers), is the largest non-governmental regulator for all securities firms doing business in the United States. FINRA was created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration ...
primary responsibilities of the NFA are to enforce ethical standards and customer protection rules, screen futures professionals for membership, audit and monitor professionals for financial and general compliance rules, and provide for arbitration ...
of FCMs, CPOs, CTAs, IBs, and their associated persons, focusing primarily on the qualifications and proficiency, financial condition, retail sales practices, and business conduct of these futures professionals. NFA also performs arbitration and ...
Securities Industry Committee on Arbitration (SICA)
Securities Investor Protection Corporation (SIPC)
Securities loan
Securities markets
Securitization
Security characteristic line
Security deposit (initial) ...
 See also: Action, Market, Exchange, Trading, Securities
  
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