Originally from Securities Arbitration: Practice and Forms - Third Edition

SYNOPSIS

§ 1.01 Introduction: A History of Securities Arbitration 
[1] The Convening of the Securities Industry Conference on Arbitration and the Development of the Uniform Code of Arbitration
[2] The United States Arbitration Act and Judicial Acceptance of Arbitration

§ 1.02 Background: SEC Oversight of Arbitration Programs
[1] SEC Review of FINRA Arbitration Rules
[2] Authority to Amend FINRA Arbitration Rules
[3] Inspections of FINRA
[4] History of SEC Oversight of the Arbitration Programs

§ 1.03 Relationship of Arbitration Programs and Disciplinary Departments
[1] Public Responsibilities of FINRA
[2] Difference Between the Arbitration and Disciplinary Functions
[3] Links Between the Arbitration and Disciplinary Functions

§ 1.04 The History of the Arbitration Rules Reform
[1] Changes Since the Late 80’s 
[a] Arbitrator Classification
[i] Uniform Code
[ii] FINRA Codes of Arbitration Procedure for Customer Disputes and Industry Disputes
[iii] The 2015 Arbitrator Classification
[b] Arbitrator Disclosure
[i] The Uniform Code
[ii] FINRA Codes of Arbitration Procedure for Customer Disputes and Industry Disputes
[c] Arbitration Results
[d] Discovery
[e] Other Rule Changes
[f] NASD Code Rewrite 
[2] The Arbitration Policy Task Force: Recommendations and Results
[a] History of the Task Force
[b] Recommendations
[i] Punitive Damages
[ii] Eligibility
[iii] Predispute Arbitration Agreements
[iv] Discovery
[v] Arbitration of Employment Disputes
[vi] Arbitrator List Selection
[vii] Other Recommendations
[c] Implementation Status
[i] Punitive Damages
[ii] Eligibility
[iii] Predispute Arbitration Agreements
[iv] Discovery
[v] Arbitration of Employment Disputes
[vi] Arbitrator List Selection

§ 1.05 The Dispute Resolution Task Force

§ 1.06 Other Projects to Improve Securities Arbitration
[1] Arbitrator Training and Evaluation
[2] Early Proposals for a Unified SRO Arbitration Forum
[3] Non-SRO Forums

§ 1.07 Use of Predispute Arbitration Clauses by the Securities Industry in Customer Agreements
[1] SEC Findings Concerning the Use of Predispute Arbitration Clauses
[2] SEC Initiatives with the SROs Concerning Arbitration Clauses
[3] Initial SRO Action Regarding Predispute Arbitration Clauses
[4] Broker–Dealer Obligations with Respect to Predispute Arbitration Clauses 
[a] Disclosure of Predispute Arbitration Clauses
[b] The Task Force Report on Predispute Agreements
[c] The October 1998 Predispute Agreement Rule Filing and Its Approval

§ 1.08 Federal and State Legislative Attention to Securities Industry Arbitration
[1] Congressional Review of Securities Arbitration – the 80’s, 90’s, and Early 21st Century
[2] The Dodd-Frank Act, the SEC, and Current Federal Battles over Pre-Dispute Arbitration Agreements
[3] State Efforts to Regulate Brokers’ Arbitration Contracts