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The securities industry scored a major court victory this week in its fight against California�s ethics rules for arbitrators. Since an adverse U.S. district court ruling last fall, the NASD and the NYSE have gone around the guidelines by requiring that investors sign waivers before allowing arbitrations with securities companies. But U.S. District Judge Jeremy Fogel ruled in San Jose on Tuesday that federal law pre-empts the state Judicial Council�s controversial rules.
April 24, 2003 at 12:00 AM
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The original version of this story was published on Law.Com
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