42 Years of Impactful Scholarship

Volume 42, Issue 2

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Article 2 is Similarly Long and Never ending

Registered as brokers and, where they also trade for their own account, as dealers (“broker-dealers”) under the Securities Exchange Act of 1934, which includes registration with the Securities and Exchange Commission (“SEC”),11 and with a self-regulatory organization (“SRO”) such as the Financial Industry Regulatory Authority12 (“FINRA”) or a national securities exchange.13 Part II of this Note offers a comparative analysis of how securities arbitration works in the United States, the United Kingdom, and Australia today. This comparative analysis includes a review of the key aspects and structural safeguards within each forum. Further, Part II offers a survey of the varying standards of care required to be followed by the securities industry in each country, as the breach of these standards is what gives rise to securities disputes. Part III of this Note will discuss how changes in the regulatory landscape, driven and reinforced by negative public opinion of the United States securities dispute resolution process, threaten to fragment the system and harm individual retail investors. Part IV of this comparison of the intercontinental forums for securities dispute resolution will recommend the adaption of certain positive enhancements to make securities dispute resolution more accessible and transparent. 

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