Securities Law Clinic

Clinic News Archive

The Cornell Securities Law Clinic suggests changes to a preliminary FINRA rule governing communications with the public November 20, 2009 The Cornell Securities Law Clinic suggests changes to a preliminary FINRA rule governing communications with the public
The Cornell Securities Law Clinic supports an SEC proposal to regulate so-called "pay-to-play" by Investment Advisers November 15, 2009 The Cornell Securities Law Clinic supports an SEC proposal to regulate so-called "pay-to-play" by Investment Advisers
Cornell Securities Law Clinic urges SEC to approve PIABA proposal to eliminate mandatory industry arbitrators in customer cases November 01, 2009 Cornell Securities Law Clinic urges SEC to approve proposal to eliminate mandatory industry arbitrators in customer cases
The Cornell Securities Law Clinic has urged FINRA to extend the availability of broker disciplinary records through BrokerCheck October 05, 2009 The Cornell Securities Law Clinic has urged FINRA to extend the availability of broker disciplinary records ...
Securities Law Clinic Prevails In California Appeal September 28, 2009 The Cornell Securities Law Clinic has prevailed in a California appeal over an unconscionable arbitration provision....
Securities Law Clinic files Comment Letter on Bank-Broker Proposal September 28, 2009 Cornell Securities Law Clinic files Comment Letter supporting in part and opposing in part FINRA Bank-Broker Proposal
Cornell Securities Law Clinic Supports Investment Adviser Asset Custody Rule Proposal July 29, 2009 The Cornell Securities Law Clinic filed a Comment Letter supporting an SEC proposal on custody of investor assets.
Cornell Securities Law Clinic supports FINRA Suitability Rule Proposal July 02, 2009 Cornell Securities Law Clinic files Comment Letter in support of expanded "suitability" rule
Securities Law Clinic student Seth Nadler '10 argues before California Court of Appeal June 30, 2009 Cornell Securities Law Clinic student Seth Nadler '10 argues before California Court of Appeal
Cornell Securities Law Clinic Supports Revised Customer Complaint Reporting Requirements April 27, 2009 Cornell Securities Law Clinic files Comment Letter supporting FINRA's expanded customer complaint reporting requirements.
Cornell Securities Law Clinic files objection with SEC to proposed changes in arbitration discovery rules. April 17, 2009 Cornell Securities Law Clinic files objection with SEC to proposed changes in arbitration discovery rules.
Cornell Securities Law Clinic Files Amicus Brief In California Case March 31, 2009 The Cornell Securities Law Clinic has filed an Amicus Brief in a California appeal over excessive arbitration fees.
Cornell Securities Law Clinic to Work With Tioga County Landowners Group On Investment Fraud Prevention December 09, 2008 On April 8, 2009, the Cornell Securities Law Clinic will present an investment fraud prevention program in Candor, NY
Securities Law Clinic Completes Fall 2008 Investor Fraud Prevention Program November 20, 2008 Cornell Securities Law Clinic students presented an Investor Fraud Prevention Program in three locations in the Southern Tier
Cornell Securities Law Clinic student Taylor Dalton '10 awarded Third Prize in the PIABA student writing competition October 30, 2008 Cornell Securities Law Clinic student Taylor Dalton '10 awarded Third Prize in the PIABA student writing competition ....
Cornell Securities Law Clinic files Comment Letter on FINRA Single Arbitrator Rule Proposal October 23, 2008 Cornell Securities Law Clinic supports in part, and opposes in part FINRA Rule Proposal on single arbitrator selection ....
Cornell Securities Law Clinic Supports FINRA Market Letter Proposal October 20, 2008 Cornell Securities Law Clinic files Comment Letter in support of FINRA Rule Proposal on market letters ...
Cornell Securities Law Clinic Supports SEC Short Selling Limit October 17, 2008 Cornell Securities Law Clinic supports SEC Rule Proposal limiting short selling ....
Cornell Securities Law Clinic Comments on ERISA Investment Advisor Rule Proposals October 09, 2008 Cornell Securities Law Clinic Comments on ERISA Investment Advisor Rule Proposals
Cornell Securities Law Clinic files Comment Letter suggesting changes to FINRA's proposed guidance on variable insurance products. September 30, 2008 Cornell Securities Law Clinic files Comment Letter on FINRA's proposed guidance to members on variable insurance products.
Cornell Securities Law Clinic Supports SEC's Equity Indexed Annuity Rule Proposal September 22, 2008 Cornell Securities Law Clinic supports SEC proposal to subject Equity Indexed Annuities to securities laws ...
Cornell Securities Law Clinic to hold CLE seminar June 11, 2008 Seminar on Securities Law & Investment Fraud in conjunction with Tompkins County Bar Association ...
Securities Law Clinic suggests SEC require additional disclosures of investment advisers May 09, 2008 Securities Law Clinic requests that SEC require additional disclosures of investment advisers ...
Securities Law Clinic Completes Spring 2008 Investment Fraud Prevention Program at Cornell Cooperative Extension April 29, 2008 Six Securities Law Clinic students hold investment fraud prevention program at Cornell Cooperative Extension ...
Practicing Law Institute to publish Securities Law Clinic Comment Letter on rule proposal as part of 2008 Securities Arbitration program course book April 26, 2008 Practicing Law Institute to publish Securities Law Clinic Comment Letter on FINRA rule proposal ...
Securities Law Clinic files a Comment Letter with the SEC opposing a proposal to allow parties in securities arbitration to file submissions after a case is closed. March 31, 2008 The Securities Law Clinic has filed a Comment Letter opposing a FINRA proposal to allow post-award ...
Investment News highlights a Comment Letter filed by the Securities Law Clinic on a proposal by the SEC to amend the forms used by mutual fund companies. March 28, 2008 Securities Law Clinic’s Comments on SEC Mutual Fund Prospectus Rule Gain Press Attention ...
Securities Law Clinic interact with two leading securities experts. March 27, 2008 Securities Law Clinic students have had an opportunity to interact with two leading securities experts ...
Securities Law Clinic Partners With Cooperative Extension March 11, 2008 The Securities Law Clinic is partnering with Cornell Cooperative Extension’s...
Securities Law Clinic Director William A. Jacobson will be the guest speaker at the April 2008 monthly luncheon of the Tompkins County Bar Association. March 10, 2008 Securities Law Clinic Director William A. Jacobson will be a guest speaker at the April 2008 ...
On May 12, 2008, Securities Law Clinic Director and Associate Clinical Professor, William A. Jacobson will present a seminar on “What Everyone Needs to Know About Investment Fraud.” March 07, 2008 At the request of Ithaca Forward, Securities Law Clinic Director William A. Jacobson will present a seminar ...
Securities Law Clinic students will make a presentation to senior citizen and disabled residents on ways to avoid becoming victims of fraud. March 06, 2008 Securities Law Clinic students will make a presentation to senior citizen ...
Securities Law Clinic files Comment Letter on the proposal to amend e-filing rules in securities arbitration. February 25, 2008 Securities Law Clinic files a Comment Letter on the proposal by FINRA ...