SECURITIES ARBITRATION COMMENTATOR, INC.
AWARD SURVEYS
SAC Issue: Volume I, No. 4, pp. 6 - 7
Publication Date: July 1988
Award Year(s) Reviewed: October 1987
Survey Topic: Broker-dealer responses to SEC survey on firms' handling of pre-dispute arbitration clauses
Number of Charts: None
Abstract
SAC's summary of responses to the SEC's October 1987 survey of broker-dealers' use of pre-dispute arbitration clauses reveals, among other findings, significant differences in the firms' handling of cash and margin accounts in the early years of the burgeoning securities arbitration industry. This survey became well-known as the basis for the SEC staff's subsequent recommendations to consider legislative and regulatory action on pre-dispute clauses.
File Size Format: File Size Format: Pre-Dispute Clauses, 1987, 220 Kb Adobe PDF
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