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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION [C] FINRA Actions....................................................5A-45 [D] Additional Criteria..............................................5A-46 [E] Discretionary Versus Mandatory Action.............5A-46 § 5A:9.3 Summary Licensing Orders ..............................5A-46 § 5A:10 Administrative Enforcement.......................................5A-47 § 5A:10.1 Investigations ...................................................5A-47 [A] Investigative Authority and Powers ....................5A-47 [B] Confidentiality of Investigative Files ..................5A-48 [C] Sharing of Investigative Information ..................5A-48 [D] State “Right to Know” Laws ...............................5A-49 [E] Discovery Requests for Investigative Files in Civil Litigation.......................................5A-49 § 5A:10.2 Administrative Subpoena Authority .................5A-50 [A] Scope, Privilege, and Enforcement ......................5A-50 [B] Compulsion and Immunity................................5A-51 [C] Reciprocal Subpoena Authority...........................5A-51 § 5A:10.3 Civil Injunctions ..............................................5A-52 § 5A:10.4 Administrative Orders ......................................5A-53 [A] Cease and Desist Orders.....................................5A-53 [A][1] Basis for Cease and Desist Order ....................5A-54 [A][2] Contents of a Cease and Desist Order ............5A-54 [A][3] Summary Process ............................................5A-55 [A][4] Hearings and Final Orders...............................5A-55 [A][5] Judicial Enforcement........................................5A-56 [B] Orders to Show Cause ........................................5A-56 [C] Notices and Procedures.......................................5A-56 [D] Judicial Review....................................................5A-57 [D][1] USA 1956 ........................................................5A-57 [D][2] USA 2002 ........................................................5A-57 [D][3] Judicial Review and Request for Rehearings ....5A-57 [E] Judicial Stay ........................................................5A-58 [F] Administrative Enforcement of General Anti-Fraud Provision...........................................5A-58 § 5A:10.5 Hearings to Be Public .......................................5A-60 § 5A:10.6 Burden of Going Forward, Burden of Proof........5A-60 § 5A:10.7 Statute of Limitations on Administrative Actions .............................................................5A-60 § 5A:10.8 State Actions Giving Rise to Federal Statutory Disqualification.................................5A-61 § 5A:11 Civil Liability..............................................................5A-63 § 5A:11.1 USA 1956.........................................................5A-63 [A] Registration Liability...........................................5A-63 [B] Anti-Fraud Liability.............................................5A-63 [C] Joint and Several Liability...................................5A-64 [D] Rescission Offers.................................................5A-64 lx

Table of Contents [E] Damages .............................................................5A-65 [F] Statute of Limitations, Survival, Non-Exclusive Remedy ...............................................................5A-65 § 5A:11.2 USA 2002.........................................................5A-65 [A] Securities Litigation Uniform Standards Act of 1998 .........................................................5A-65 [B] Registration Liability...........................................5A-65 [C] Anti-Fraud Liability of Seller to Purchaser and Damages......................................5A-66 [D] Anti-Fraud Liability of Purchaser to Seller and Damages ............................................5A-66 [E] Joint and Several Liability...................................5A-67 [F] Statute of Limitations, Survival, Non-Exclusive Remedy .......................................5A-67 [G] Rescission Offers.................................................5A-68 § 5A:11.3 Who Is a Seller?................................................5A-69 § 5A:11.4 No Civil Liability for Meeting Statutory Criteria for Denial, Suspension, or Revocation of License .......................................5A-70 § 5A:11.5 Arbitration Clauses in Client Brokerage Agreements.......................................................5A-71 § 5A:11.6 State Common Law Claims .............................5A-71 § 5A:12 Criminal Liability .......................................................5A-72 § 5A:12.1 USA 1956.........................................................5A-72 § 5A:12.2 USA 2002.........................................................5A-72 § 5A:12.3 Affirmative Defenses ........................................5A-73 § 5A:12.4 Willfulness........................................................5A-73 PART II: Supervisory Requirements Chapter 6 Duty to Supervise David F. Freeman, Jr. § 6:1 What Is Supervision?...................................................... 6-4 § 6:2 Why Supervise?............................................................... 6-5 § 6:2.1 Rules Require You to Supervise............................... 6-5 § 6:2.2 Reduce Chance of Violation or Loss Occurring........ 6-5 § 6:2.3 Reduce Entity Liability If Violation Occurs ............ 6-5 § 6:2.4 Investor Protection.................................................. 6-6 § 6:3 Sources of Affirmative Duty to Supervise....................... 6-6 § 6:3.1 Securities Exchange Act of 1934............................. 6-6 [A] Exchange Act Sections 15(b)(4)(E) and 15(b)(6) ...... 6-6 [B] Insider Trading (Sections 15(f), 21A(b) of Exchange Act; 1990 SEC Report)............................ 6-7 (Broker-Dealer Reg., Rel. #3, 5/13) lxi

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