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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 7:2.4 Assignment of Registered Persons to Registered Principals ............................................... 7-8 § 7:2.5 Reflection of a Firm’s Supervisory Structure in Its Written Procedures ........................ 7-8 § 7:3 Special Supervisory Structure Issues Concerning the Separation Between Research and Investment Banking Personnel ............... 7-10 § 7:4 Special Supervisory Structure Issues Concerning Geographically Disbursed and Remote Sales Offices..................................................... 7-11 Chapter 8 Branch Office Supervision Cheryl L. Haas-Goldstein § 8:1 Introduction.................................................................... 8-2 § 8:2 Branch Office Defined .................................................... 8-4 § 8:2.1 Exemptions from Branch Office Definition/Registration............................................ 8-5 [A] Non-Sales Locations/Back Offices........................... 8-5 [B] Primary Residences ................................................. 8-6 [C] Locations Other Than Primary Residences ............ 8-7 [D] Offices of Convenience ........................................... 8-7 [E] Location Used Primarily to Engage in Non-Securities Activities ........................................ 8-8 [F] Floor of a Registered National Securities [G] Exchange................................................................. 8-8 Temporary Location Used for Business Continuity Purposes ............................................... 8-8 § 8:2.2 FINRA Office of Supervisory Jurisdiction ............... 8-8 § 8:2.3 NYSE Small Offices and Limited Purpose Offices..................................................................... 8-9 § 8:2.4 Branch Office Registration .................................... 8-10 § 8:3 Home Office Supervision of Branch Offices ................. 8-11 § 8:3.1 Creating Written Supervisory Procedures.............. 8-11 [A] General Considerations ........................................ 8-11 [B] Areas of Coverage ................................................. 8-13 § 8:3.2 Hiring a Branch Office Manager........................... 8-15 § 8:3.3 Surveillance Activity ............................................. 8-16 [A] General Provisions................................................ 8-16 [B] Exception Reporting.............................................. 8-17 § 8:3.4 Branch Inspections................................................ 8-19 [A] Regulatory Requirements ...................................... 8-19 [B] Best Practices ........................................................ 8-21 [C] Areas of Coverage ................................................. 8-23 lxiv

§ 8:3.5 Training................................................................. 8-24 [A] General Considerations ........................................ 8-24 [B] Regulatory Requirements ...................................... 8-25 § 8:3.6 Producing Manager Review................................... 8-27 [A] Regulatory Requirements ...................................... 8-27 [B] Special Considerations for Small Firms................ 8-28 § 8:4 On-Site Supervision of Branch Offices ......................... 8-28 § 8:4.1 Hiring Registered Persons for the Branch Office .... 8-28 [A] Employment History ............................................ 8-29 [B] Other Businesses .................................................. 8-29 [C] Disclosure Questions............................................ 8-30 § 8:4.2 Supervising Accounts Prior to Activity ................. 8-31 [A] New Account Information.................................... 8-32 [B] Customer Identification Programs........................ 8-34 [C] Regulation S-P ...................................................... 8-34 § 8:4.3 Supervising Sales Activities and Communications .................................................. 8-35 [A] Sales Activities...................................................... 8-35 [B] Communications .................................................. 8-36 [C] Table of Contents Outside Business Activities and Private Securities Transactions ......................................... 8-39 § 8:4.4 Performing Heightened Supervision...................... 8-42 § 8:4.5 Maintaining Books and Records ........................... 8-43 [A] Required Records .................................................. 8-43 [B] Contact Person Records ........................................ 8-43 [C] Record Retention .................................................. 8-44 § 8:4.6 Implementing Back Office Controls ..................... 8-44 § 8:4.7 Delegating Responsibility...................................... 8-44 § 8:5 Handling Customer Complaints .................................. 8-44 [A] General Considerations ........................................ 8-44 [B] Reporting Customer Complaints to Regulators...... 8-45 [C] Investigating Customer Complaints..................... 8-46 Chapter 9 Supervision of Registered Representatives’ Outside Business Activities David F. Freeman, Jr. § 9:1 What Activities Are Covered?......................................... 9-3 § 9:2 Why Supervise Outside Activities? ................................. 9-3 § 9:3 The Regulatory Framework ............................................ 9-4 § 9:3.1 FINRA Rule 3270, FINRA/NASD Conduct Rule 3040................................................................ 9-5 [A] FINRA Rule 3270—Outside Business Activity ....... 9-5 [B] Conduct Rule 3040—“Selling Away”...................... 9-5 (Broker-Dealer Reg., Rel. #3, 5/13) lxv

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