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KCI등재 학술저널

미국의 증권중재제도에 관한 소고 -공정성 요건을 중심으로

ARBITRATION IN THE UNITED STATES SECURITIES INDUSTRY : PROCEDURES AND SUBSTANTIVE FAIRNESS

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The financial industry in which arbitration is most frequently resorted to so as to resolve disputes is the sector related to the securities industry. Most securities related disputes are raised from broker-dealer controversies which is not new in the Republic of Korea. The disputes between securities brokers and customers are very frequently settled by arbitration in the United States. But the arbitration in the securities area may deprive investors from securities regulation s protection. Introducing the United States Federal Supreme Courts cases, the author explores the logic of how the pre-dispute arbitration agreement compatible with Securities regulations. However, the author insist the South Korea should more careful in accepting pre-dispute arbitration contract in securities area. Mostly because of the lack of more specific way to secure substantive fairness in securities arbitration. Also the author worries about the possibility of prevailing pre-dispute arbitration agreement in all of the securities investment contract without any other choices, or securities laws protection. But the author also suggests to introduce public securities arbitration system of the States, and also insists the way to secure substantive fairness, or the application of securities regulations in securities arbitrations. Which may be the pre-requirements for the pre-dispute arbitration agreement in securities investment contract.

Ⅰ. 서론

Ⅱ. 문제의 제기

Ⅲ. 증권중재에서 증권의 범위

Ⅳ. 사전적 증권중재합의의 인정여부에 관한 미국 연방대법원 판례의 변천

Ⅴ. 증권중재의 활성화 이후 대두되는 문제 : 중재의 절차적 공정성과 실질적 공정성

Ⅳ. 결론

참고문헌

Abstract