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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

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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