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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

Table of Contents - Practising Law

Table of Contents VOLUME 1 About the Editor ...............................................................................ix About the Contributors ...................................................................xi Preface........................................................................................... xliii Table of Chapters ...........................................................................xlv PART I: Introduction, Broker-Dealer Status and Registration Chapter 1 Introduction Clifford E. Kirsch § 1:1 Overview......................................................................... 1-1 § 1:2 The Pattern of Broker-Dealer Regulation........................ 1-2 § 1:3 Structure of This Book ................................................... 1-3 Chapter 2 What Is a Broker-Dealer? Robert L.D. Colby & Lanny A. Schwartz § 2:1 Exchange Act Registration Requirement......................... 2-4 § 2:1.1 Section 15 ............................................................... 2-4 § 2:1.2 Consequences of Registration ................................. 2-6 § 2:1.3 Application of Certain Rules to Broker-Dealers Even If Not Registered ............................................ 2-8 § 2:1.4 State Registration Requirements ............................. 2-9 § 2:1.5 Consequences of Illegally Doing Business As an Unregistered Broker-Dealer......................... 2-11 § 2:2 What Is a Broker? ......................................................... 2-11 § 2:2.1 Generally............................................................... 2-11 § 2:2.2 Effecting Transactions ........................................... 2-12 (Broker-Dealer Reg., Rel. #3, 5/13) li

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