Author Question: Identify the form of ADR used most often to resolve securities disputes, and the source of the ... (Read 59 times)

formula1 · **on:** Aug 3, 2018

Identify the form of ADR used most often to resolve securities disputes, and the source of the authority to employ ADR in the securities context.

What will be an ideal response?

Question 2

Before you begin the actual analysis process, you first need to be in possession of the facts and issues in the case.

Indicate whether the statement is true or false

gasdhashg · **Reply #1 on:** Aug 3, 2018

Answer to Question 1

Arbitration is the ADR method used most often to resolve securities disputes. The source of
authority is the New York Stock Exchange and the National Association of Securities
Dealers, which favor arbitration and which require that industry agreements between brokers
and their customers, between employees and member firms and between the industry
organizations and its members contain an arbitration clause. Also, insofar as many securities
transactions involve interstate commerce, the Federal Arbitration Act also provides
authority.

Answer to Question 2

TRUE