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Securities › Margin Calls

Carlton Fields

Third Circuit Affirms Dismissal Of Suit To Vacate FINRA Arbitration Award

Carlton Fields on

This case involved an underlying arbitration before an arbitration panel operating under the Financial Industry Regulatory Authority (“FINRA”) rules, which was brought by Judith and Kenneth Goldman against their financial...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

Adler Pollock & Sheehan P.C. on

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

Katten Muchin Rosenman LLP

JAC Issues Guidance on Margin Funds

Katten Muchin Rosenman LLP on

The Joint Audit Committee (JAC) has issued a regulatory alert regarding the receipt and disbursement of margin funds. As noted in the regulatory alert, a futures commission merchant (FCM) is generally prohibited from applying...more

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