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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION [C] “Promptly” Transmitted ................................... 44-110 [D] Eligible Bank Accounts ..................................... 44-111 [E] Sweep Accounts ................................................ 44-111 [F] Breaking Escrow................................................ 44-112 § 44:13 Rule 10b-18 (Issuer Repurchases) ............................. 44-112 § 44:13.1 Introduction...................................................... 44-112 § 44:13.2 Scope of the Rule 10b-18 Safe Harbor .............. 44-113 [A] Overview........................................................... 44-113 [B] Availability of the Safe Harbor to Certain Securities and Transactions .............................. 44-114 § 44:13.3 The Four Conditions of the Safe Harbor .......... 44-115 [A] Overview........................................................... 44-115 [B] Manner of Purchase Condition ........................ 44-116 [C] Timing Condition............................................. 44-117 [D] Price Condition................................................. 44-118 [E] Volume Condition ............................................ 44-119 [F] Rule 10b-18 Purchases After a Market-Wide Trading Suspension........................................... 44-120 § 44:13.4 Repurchases Effected Outside the United States .................................................... 44-121 § 44:13.5 Riskless Principal Transactions......................... 44-121 § 44:13.6 Disclosure ......................................................... 44-122 Chapter 45 Margin and Extensions of Credit: An Overview Elliott R. Curzon § 45:1 Introduction.................................................................. 45-1 § 45:2 Overview of Exchange Act Regulation of Credit........... 45-2 § 45:2.1 Regulations T and U ............................................. 45-3 § 45:2.2 Section 11(d) of the Exchange Act ........................ 45-4 [A] Application to the Purchase of Mutual Funds ...... 45-4 § 45:2.3 Exchange Act Disclosure Rules ............................. 45-4 § 45:3 Operational Issues ........................................................ 45-4 § 45:3.1 Net Capital/Customer Protection ......................... 45-4 § 45:3.2 Cash Accounts...................................................... 45-5 § 45:3.3 Margin Accounts................................................... 45-6 § 45:3.4 Nonpurpose or Good Faith Credit Account.......... 45-6 § 45:4 SRO Rules..................................................................... 45-7 § 45:5 Specific Maintenance Margin Requirements for Certain Securities and Positions................................... 45-8 § 45:5.1 Margin Treatment of Multiple Positions .............. 45-8 § 45:5.2 Shelf-Registered, Control and Restricted Securities............................................................... 45-9 § 45:5.3 Other Provisions ................................................... 45-9 clii

Chapter 46 U.S. Securities Activities of Foreign Broker-Dealers Jack P. Drogin § 46:1 Overview of Securities Activities of Foreign Broker-Dealers .............................................................. 46-2 § 46:1.1 General ................................................................. 46-2 § 46:1.2 SEC’s Extra-Territorial Approach to Broker-Dealer Registration Enforcement.......................................................... 46-6 § 46:2 Early Treatment of Foreign Broker-Dealers................... 46-8 § 46:3 Proposed Rule 15a-6 ................................................... 46-11 § 46:4 Rule 15a-6 As Adopted ............................................... 46-13 § 46:4.1 Unsolicited Trades: Paragraph (a)(1) ................... 46-14 [A] Solicitation Generally ......................................... 46-14 [B] Solicitation Through Use of the Internet......................................................... 46-15 § 46:4.2 Research: Paragraph (a)(2) ................................... 46-17 [A] Providing Research to Major U.S. [B] Table of Contents Institutional Investors ........................................ 46-17 Application of Regulation AC to Foreign Broker-Dealers........................................ 46-19 § 46:4.3 Direct Contacts and “Chaperones:” Paragraph (a)(3) ................................................... 46-24 § 46:4.4 Transactions Involving Registered Broker-Dealers and Certain Others: Paragraph (a)(4) ................................................... 46-28 § 46:5 Subsequent No-Action Letters and SEC Staff FAQs ............................................................ 46-29 § 46:5.1 Seven Firms Letter .............................................. 46-29 § 46:5.2 Nine Firms Letter ............................................... 46-30 § 46:5.3 Other Letters....................................................... 46-32 § 46:5.4 Canadian Snow-Bird Exemption......................... 46-33 § 46:5.5 SEC Staff FAQs................................................... 46-33 § 46:6 Proposed Amendments to Rule 15a-6 ........................ 46-36 § 46:6.1 Extension of Rule 15a-6 to Qualified Investors ............................................... 46-36 § 46:6.2 Unsolicited Transactions .................................... 46-37 § 46:6.3 Provision of Research Reports............................. 46-37 § 46:6.4 Solicited Trades ................................................... 46-37 [A] Proposed Exemption (A)(1) ................................. 46-37 [B] Proposed Exemption (A)(2) ................................. 46-39 § 46:6.5 Sales Activities Under Exemptions (A)(1) and (A)(2)............................................................ 46-40 (Broker-Dealer Reg., Rel. #3, 5/13) cliii

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