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Legislative Council Secretariat IN16[removed]INFORMATION NOTE Securities arbitration in the United States
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Document Date: 2010-02-25 22:34:26

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Company

NYSE Regulation Inc. / Lehman Brothers / New York Stock Exchange / INFORMATION NOTE Securities / FINRA10 / Financial Industry Regulatory Authority / Shearson/American Express Inc. / /

Country

United States / /

Currency

USD / HKD / /

Event

Company Expansion / /

IndustryTerm

regulatory services / transparency services / bank / dispute resolution services / membership applications / arbitration services / /

Organization

Congress / US Supreme Court / National Arbitration and Mediation Committee / US Federal Reserve / Securities and Futures Commission / Research and Library Services Division / Hong Kong Monetary Authority / Legislative Council Secretariat / Treasury Bureau / National Association of Securities Dealers / Securities and Exchange Commission / Municipal Securities Rulemaking Board / /

Position

broker-dealer / public arbitrator / arbitrator / Governor / Independent Dealer/Insurance Affiliate Governor / Director / broker / Chief Executive Officer / mediator / Chair-qualified arbitrator / chairperson / Mid-Size Firm Governor / Financial Secretary / Investment Company Affiliate Governor / dealer / non-public arbitrator / judge / /

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