Identify the form of ADR used most often to resolve securities disputes, and the source of the authority to employ ADR in the securities context
What will be an ideal response?
Arbitration is the ADR method used most often to resolve securities disputes. The source of
authority is the New York Stock Exchange and the National Association of Securities
Dealers, which favor arbitration and which require that industry agreements between brokers
and their customers, between employees and member firms and between the industry
organizations and its members contain an arbitration clause. Also, insofar as many securities
transactions involve interstate commerce, the Federal Arbitration Act also provides
authority.
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Carl is stopped on the street, handcuffed, and then taken back to a waiting patrol car. The officer shoves Carl’s face against the glass window and asks the person in the back seat, “Is this the man who attacked you?” The witness says yes and Carl is arrested. Is this identification admissible at trial?
a. Yes, because Carl was validly arrested. b. Yes, because the witness identified Carl. c. No, because Carl was not read his Miranda rights. d. No, because it was an impermissible “show-up.”
Metadata is
a. a process used to scan or search the document for relevant terms. b. a method of conducting research. c. a process of eliminating duplicate data. d. information about the documents.
An act of grace by the chief executive of the government relieving a person of the legal consequences of a crime of which he or she has been convicted is called:
A) commutation. B) acquittal. C) summary judgment. D) pardon.
The process of testing a database to see if it contains information relevant to the subject matter of the case is called:
a. content review b. case management c. sampling data d. monitoring metadata e. litigation support