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BROKER-DEALER REGULATION [E][2][b] Transactions Complying with Rule 103 or Rule 104 of Regulation M ............................. 44-77 [E][2][c] Odd-Lot Transactions.................................... 44-77 [E][2][d] Exercises of Securities ................................... 44-78 [E][2][e] Unsolicited Transactions............................... 44-79 [E][2][f] Basket Transactions....................................... 44-79 [E][2][g] De Minimis Transactions .............................. 44-79 [E][2][h] Transactions in Connection with a Distribution .................................................. 44-80 [E][2][i] Offers to Sell or the Solicitation of Offers to Buy............................................................ 44-80 [E][2][j] Transactions in Rule 144A Securities ........... 44-81 [E][3] Restricted Periods............................................. 44-81 [E][3][a] Securities with an ADTV Value of $100,000 or More of an Issuer Whose Common Equity Securities Have a Public Float Value of $25 Million or More......44-82 [E][3][b] Distributions of All Other Securities ............ 44-82 [E][3][c] Mergers, Acquisitions, and Exchange Offers ............................................................ 44-82 [E][3][d] Initial Public Offerings.................................. 44-83 [E][4] Completion of Participation in a Distribution ..................................................... 44-84 [F] FINRA Rule 5190 (Notification Requirements for Offering Participants)..................................... 44-85 [F][1] Overview.......................................................... 44-85 [F][2] Notice of Distributions Subject to a Restricted Period Under Regulation M ............................. 44-85 [F][3] Actively-Traded Securities ................................ 44-86 [G] Exemptions ......................................................... 44-87 § 44:11.3 Rule 103 (Passive Market Making Activities) ..... 44-87 [A] Overview............................................................. 44-87 [B] Conditions of Rule 103....................................... 44-88 [B][1] Price Restriction............................................... 44-88 [B][2] Purchasing Capacity Limitation ...................... 44-89 [B][3] Limitation on Displayed Size .......................... 44-89 [C] Interaction of Rule 103 and Nasdaq’s Market Maker Requirements........................................... 44-90 [D] Pending Rulemaking ........................................... 44-91 § 44:11.4 Rule 104 (Stabilization and Other Syndicate Activities)............................................................ 44-91 [A] Overview............................................................. 44-91 [B] Stabilizing Levels ................................................ 44-93 [B][1] Overview.......................................................... 44-93 [B][2] Stabilizing When the Principal Market Is Open ............................................................ 44-94 cl
[B][3] Stabilizing When the Principal Market Is Closed.......................................................... 44-94 [B][4] Initiating Stabilizing Immediately Before the Opening of Quotations .................................... 44-94 [B][5] Adjustment to Stabilizing Bids ........................ 44-95 [B][5][a] Maximum Stabilizing Caps........................... 44-95 [B][5][b] Events Affecting a Security’s Price ................ 44-96 [C] Cross-Border Transactions .................................. 44-96 [D] Excepted Securities.............................................. 44-97 [D][1] No Exception for Actively-Traded Securities ......................................................... 44-97 [D][2] Exempted Securities......................................... 44-97 [D][3] Rule 144A and Regulation S Offerings ............ 44-97 [E] Penalty Bids and Syndicate Covering [F] Transactions........................................................ 44-97 Disclosure, Notification, and Recordkeeping Requirements ...................................................... 44-98 [F][1] Books and Records Requirements.................... 44-99 § 44:11.5 Rule 105 (Short Sales in Connection with a Public Offering)................................................... 44-99 [A] Overview............................................................. 44-99 [B] Best Efforts Offerings ........................................ 44-100 [C] Excepted Activity .............................................. 44-100 [C][1] Bona Fide Purchases ...................................... 44-100 [C][2] Separate Accounts.......................................... 44-101 [C][3] Investment Companies.................................. 44-103 § 44:11.6 Proposed Rule 106 of Regulation M ................. 44-103 § 44:12 Contingent and Best Efforts Offerings...................... 44-104 § 44:12.1 Introduction...................................................... 44-104 § 44:12.2 Rule 10b-9 (Prohibited Representations in Connection with Certain Offerings) ................. 44-105 [A] Overview........................................................... 44-105 [B] General Requirements of Rule 10b-9................ 44-105 [C] Sales Must Be Bona Fide .................................. 44-106 [D] Insiders’ Purchases............................................ 44-107 [E] [F] Table of Contents “Market Out” Clauses and Other Conditions Precedent in Firm Commitment Underwritings................................................... 44-108 Modifications to the Terms of an Ongoing Offering .............................................. 44-108 § 44:12.3 Rule 15c2-4 (Transmission or Maintenance of Payments Received in Connection with Underwritings).................................................. 44-109 [A] Overview........................................................... 44-109 [B] General Requirements ...................................... 44-109 (Broker-Dealer Reg., Rel. #3, 5/13) cli
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Table of Contents VOLUME 1 About th
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[A] Generally .....................
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Table of Contents Chapter 3 Brokers
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Table of Contents Chapter 5 Broker-
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Table of Contents § 5A:6.2 Exempti
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Table of Contents [E] Damages .....
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Table of Contents § 6:7.5 Qualific
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§ 8:3.5 Training..................
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§ 10:5 Harmonizing the Broker-Deal
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Table of Contents § 12:2.7 Use of
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§ 13:2 Establishment and Maintenan
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§ 13:4.2 Firm-Initiated Transfers
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[B][2] Disclosures Applicable to Mu
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Table of Contents [C][2] Financial
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§ 15:2.3 MSRB Rules ..............
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[D][3] SEC v. Materia: Misappropria
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§ 17:4 SRO Research Rules.........
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§ 17:6 Global Research Analyst Set
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§ 18:5.2 Definition of Exchange ..
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§ 18:7.2 Exchange Act Rule 15c3-5
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[D] Price Improvement .............
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Table of Contents § 20:5.2 The Dut
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Table of Contents [D] Introducing B
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§ 25:3 Understanding the Arrangeme
Page 49 and 50: Table of Contents § 25:17.31 Anti-
Page 51 and 52: Table of Contents § 27:7.1 Disclos
Page 53 and 54: Table of Contents § 28:2.4 Fraudul
Page 55 and 56: [C] Risk Management for Banks......
Page 57 and 58: Table of Contents Chapter 31A SEC a
Page 59 and 60: PART X: Compliance, Examinations, a
Page 61 and 62: Table of Contents § 33:3.8 Where R
Page 63 and 64: [B] Administrative Proceedings.....
Page 65 and 66: § 36:2.2 To What Extent Should the
Page 67 and 68: Table of Contents § 37:4.1 Broker-
Page 69 and 70: Table of Contents § 37B:2.3 Arbitr
Page 71 and 72: § 37C:3.2 Institutional Investment
Page 73 and 74: Table of Contents § 37D:3 Treasury
Page 75 and 76: Table of Contents § 38:6.4 Educati
Page 77 and 78: § 39:5.6 Rule G-34 CUSIP Numbers a
Page 79 and 80: § 40:2.2 Municipal Entity and Obli
Page 81 and 82: Table of Contents [E] Communication
Page 83 and 84: § 42:4.3 Exclusive Benefit Rule...
Page 85 and 86: Table of Contents [C] Underwriting
Page 87 and 88: Table of Contents [D] Implications
Page 89 and 90: § 42C:3.2 Consequences of Breachin
Page 91 and 92: Table of Contents § 42D:3.3 Applic
Page 93 and 94: § 42E:6 Considerations in Connecti
Page 95 and 96: PART XVI: Special Topics Table of C
Page 97 and 98: § 44:4 FINRA Rule 5121 (Public Off
Page 99: § 44:9.3 Procedures Required by Ru
Page 103 and 104: Chapter 46 U.S. Securities Activiti
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