| Arbitration of Securities Disputes |
| Although persons may not be required to arbitrate rather than litigate their claims, they may by contract agree to arbitrate any claims that arise under the contract. More... |
| Investment Clubs |
| Groups of individuals may form a partnership or other organization in which they pool investment resources and ideas. The extent to which a membership in the club might be considered a security and the extent to which members of the club participate in decisions of the club will affect application of federal securities laws to activities of the club and its members. More... |
| Closed-End Funds |
| The three basic types of investment companies regulated under the Investment Company Act of 1940 are closed-end funds, mutual funds, and unit investment trusts. Closed-end funds must be registered with the Securities and Exchange Commission. Such funds are regulated under the Investment Company Act of 1940 and are subject to the Securities Act of 1933 and the Securities Exchange Act of 1934. Regulations have been issued by the Securities and Exchange Commission to govern the operation of closed-end funds.More... |
| Independent Director Audit Committee Requirements for New York Stock Exchange Companies |
| Independent directors must make up the majority of the board of directors of a company listed on the New York Stock Exchange. In addition, listed companies must have several committees made up entirely of independent directors, including the Audit Committee.More... |
| Whistleblower Protection Under the Pipeline Safety Improvements Act 2002 |
| Protection for Pipeline Safety Whistleblowers More... |
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