| Enhanced Antitrust Criminal Penalty and Leniency Provisions |
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| The Antitrust Criminal Penalty Enhancement and Reform Act of 2004, signed into law on June 22, 2004, as part of H.R. 1086, increased penalties for violations of the Sherman Act while increasing incentives for participation in the leniency program of the U.S. Department of Justice. More... |
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| Mediation of Securities Disputes |
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| Broker-dealer members of the National Association of Securities Dealers are required to arbitrate their disputes with investors. Also, the agreement signed by investors to trade through broker-dealers normally contains a provision requiring the investors to arbitrate their disputes with the broker-dealers rather than litigate such disputes. However, mediation is an additional method for resolving disputes that may be used prior to or in addition to mediation. More... |
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| Antitrust & Trade Law: Sherman Act |
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| Agreements In Restraint of TradeMore... |
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| Time Requirements for Settlement of Securities Trades |
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| Due to the risk of volatility in the value of securities, the Securities and Exchange Commission requires that a securities transaction must be settled or completed within three business days. "T+3" is the name given to this settlement requirement.More... |
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| Business & Corporate Entities> Corporations> Directors & Officers> Management Duties & Liabilities |
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| (Sources of Document Retention Requirements)More... |
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