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RMJ SEC. CORP. v. FITZGERALD

237 A.D.2d 168 (1997)

654 N.Y.S.2d 376

RMJ Securities Corp., Respondent, v. Cantor Fitzgerald, L. P., et al., Appellants

Appellate Division of the Supreme Court of the State of New York, First Department.

March 18, 1997

There is no merit to defendants' contention that rules of the National Association of Securities Dealers (NASD), in which the parties are members, require arbitration of this dispute. Government securities dealers are exempt from the Securities Exchange Act of 1934 (15 USC § 78c [a] [12] [A] [i]; [42]) and its amendments (15 USC § 78o-3 [f]), under which the NASD's rule-making authority is derived, and the record...

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