Originally from Securities Arbitration: Practice and Forms - Third Edition

SYNOPSIS

§ 3.01 Introduction

§ 3.02 Existence of the Arbitration Agreement
[1] Threshold Matters
[a] State Law Considerations
[b] Who Decides: Court or Arbitrator?
[2] Pre-Dispute Intra-industry Agreements
[a] Composite Agreements
[b] Standard Industry Agreements
[3] Pre-Dispute Agreements Between Securities Industry Members and the Public
[a] Where Industry Member Is Asked to Arbitrate
[b] Where Customer Is Asked to Arbitrate
[c] Evaluating the Customer Agreement
[i] Statute of Frauds
[ii] Consideration
[iii] Meeting of the Minds/Failure to Read
[iv] Adhesion Contracts/Unconscionability
[v] Fraud
[vi] Regulatory Requirements
[d] Third Parties
[4] Post-Dispute Agreements

§ 3.03 Scope of the Arbitration Agreement 
[1] Intra-Industry
[2] Disputes Between Members of the Industry and the Public
[a] Statutory Claims
[b] Rule 15c2-2
[c] Common-Law Claims
[d] Relief Awardable in Arbitration
[e] Limiting the Scope of Arbitration Agreements
[f] The Doctrine of Intertwining

§ 3.04 Waiver