Table of Contents - Practising Law Institute

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)
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