Views
3 years ago

Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 11:1.3 Specialized Application of the Suitability Doctrine.............................................................. 11-14 [A] Securities Options............................................... 11-14 [B] Institutional Investors ........................................ 11-15 [C] Accounts Managed by Third-Party Investment Advisers ........................................... 11-16 [D] Variable Annuities and Mutual Funds ................ 11-16 [D][1] Variable Annuities............................................ 11-17 [D][2] Variable Life Insurance..................................... 11-22 [D][3] Mutual Funds .................................................. 11-23 [D][4] Variable Annuity and Mutual Fund Switches ............................................................ 11-26 [E] Online Trading.................................................... 11-27 [F] Day Trading ........................................................ 11-29 [G] Low-Priced Securities .......................................... 11-29 [H] Hedge Funds ....................................................... 11-30 [I] Municipal Securities ........................................... 11-31 [J] “New Products” and Non-Conventional Investments ........................................................ 11-32 [J][1] Non-Traditional ETFs...................................... 11-32 [J][2] Principal-Protected Notes ................................ 11-33 [J][3] Reverse Convertibles........................................ 11-33 [K] Auction Rate Securities....................................... 11-34 [L] Direct Participation Programs............................. 11-35 § 11:1.4 Liability for Unsuitable Recommendations......... 11-35 [A] Regulatory Enforcement Actions......................... 11-35 [B] Private Rights of Action...................................... 11-36 § 11:1.5 Reasonable-Basis Suitability................................ 11-38 § 11:2 Unauthorized Trading................................................. 11-39 § 11:3 Churning .................................................................... 11-43 Chapter 12 Advertising and Communications John R. Hewitt § 12:1 Introduction.................................................................. 12-3 § 12:2 Broker-Dealer Communications with the Public.......... 12-4 § 12:2.1 Approval and Record-Keeping ............................... 12-8 § 12:2.2 Filing Requirements and Review Procedures....... 12-10 § 12:2.3 Exclusions from Filing Requirements ................. 12-12 § 12:2.4 Content Standards .............................................. 12-14 § 12:2.5 Guidelines to Ensure That Communications with the Public Are Not Misleading ................... 12-16 § 12:2.6 NASD IM-2210-2: Communications with the Public About Variable Life Insurance and Variable Annuities............................................... 12-17 lxviii

Table of Contents § 12:2.7 Use of Rankings in Investment Companies’ Communications .................................................12-17 § 12:2.8 Requirements for Use of Bond Mutual Fund Volatility Ratings..................................................12-18 [A] Definition ............................................................12-18 [B] Prohibitions on Use.............................................12-18 [C] Disclosure Requirements .....................................12-19 § 12:2.9 Requirements for the Use of Investment Analysis Tools ......................................................12-20 § 12:2.10 Guidelines for Communications with the Public Regarding Securities Futures .....................12-21 [A] Specific Standards ................................................12-21 [B] Projections ...........................................................12-22 [C] Historical Performance ........................................12-22 [D] Record-Keeping ....................................................12-23 [E] Guidelines for Communications with the Public Regarding Securities Futures .....................12-24 § 12:2.11 Communications with the Public About Collateralized Mortgage Obligations (CMOs) ......12-24 [A] SRO Guidance for Supervision of Electronic Communications .................................................12-26 [A][1] External Communications—Non-Member Email Platforms ................................................12-26 [A][2] Internal Communications ................................12-27 [A][3] Person(s) Responsible for Review of Electronic Communications .............................12-27 [A][4] Methods of Review for Correspondence ...........12-28 [A][5] Random Review of Electronic Correspondence ................................................12-29 [A][6] Combination of Lexicon and Random Review of Electronic Correspondence ...............12-29 [A][7] Standards Applicable to All Review Systems .....12-29 [A][8] Frequency of Review of Correspondence...........12-29 [A][9] Documentation of Review of Correspondence ................................................12-30 [A][10] Social Media .....................................................12-30 [A][10][a] Introduction: Understanding Social Media Sites.....................................................12-30 [A][10][b] Regulatory Notice 10-06: Social Media Websites .........................................................12-30 [A][10][c] Static and Interactive Features .......................12-31 [A][10][d] Third-Party Posts: Adoption and Entanglement .................................................12-31 [A][10][e] Regulatory Notice 11-39: Social Media Websites and Use of Personal Devices for Business Communications.............................12-33 (Broker-Dealer Reg., Rel. #3, 5/13) lxix

Coverage List - Practising Law Institute
Help Menu - Discover PLUS - Practising Law Institute
PLI's Patent Bar - Practising Law Institute
Practising Law Institute 14th Annual Real Estate Tax Forum UPREIT ...
Practising Law Institute's Understanding Insurance ... - Reed Smith
Practising Law Institute - Seyfarth Shaw LLP
Practising Law Institute CLE Program Current ... - Reed Smith
TABLE OF CONTENTS - Securities Commission of the Bahamas
Table of contents - Food Marketing Institute
Table of Contents
Table of Contents - TradeMotion.com
table of contents - SUNY Institute of Technology
Table of Contents - The Center for International Environmental Law
Preface, Overview and Table of Contents - Oak Ridge Institute for ...
Table of contents - Johns Hopkins Medical Institutions
Table Of Contents - International Institute for Building Biology and ...
Table Of Contents - International Institute for Building Biology and ...
From False Claims Act to FIRREA - Practising Law Institute
Table Of Contents - International Institute for Building Biology ...
TABLE OF CONTENTS - Kenora.ca
table of contents - Active Lifestyle Institute Mountain Home
table of contents - P8ntbox
Table of Contents - HNX