Table of Contents - Practising Law Institute

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BROKER-DEALER REGULATION [B] FINRA Rule 2220: Options Communications with the Public ................................................... 12-34 [B][1] Definitions....................................................... 12-35 [B][2] NASD Approval—Advertisements and Educational Material........................................ 12-35 [B][3] Standards Applicable to Communications with the Public ................................................ 12-36 [C] NASD Rule 2711—Research Analysts and Research Reports................................................. 12-39 [C][1] Restrictions on Relationship with Research Department ..................................................... 12-42 [C][2] Restrictions on Communications with Subject Company............................................. 12-43 [C][3] Prohibition of Certain Forms of Analyst Compensation ................................................. 12-44 [C][4] Prohibition of Promises of Favorable Research........................................................... 12-44 [C][5] Restrictions on Research Publication............... 12-45 [C][6] Personal Trading .............................................. 12-46 [C][6][a] Prohibition of Purchasing or Receiving Pre-IPO Securities ......................................... 12-46 [C][6][b] Blackout Periods............................................ 12-46 [C][7] Disclosure Requirements ................................. 12-47 [C][7][a] Third-Party Research Disclosure and Supervision.................................................... 12-49 [C][8] Regulation Analyst Certification...................... 12-51 [C][8][a] Certifications in Connection with Research Reports ........................................... 12-51 [C][8][b] Certifications in Connection with Public Appearances .................................................. 12-52 [C][9] Operation and Effectiveness of the Research Analyst Conflict of Interest Rules.................... 12-53 [D] Misleading Communications About Expertise .... 12-55 Chapter 13 Customer Accounts Susan Krawczyk § 13:1 What Is a Customer Account? ..................................... 13-4 § 13:1.1 SEC Broker-Dealer Rules....................................... 13-5 § 13:1.2 FINRA Rules ......................................................... 13-6 § 13:1.3 MSRB Rules .......................................................... 13-7 § 13:1.4 Regulation S-P....................................................... 13-8 § 13:1.5 USA PATRIOT Act Rules...................................... 13-9 § 13:1.6 FTC Red Flag Rules .............................................. 13-9 lxx
§ 13:2 Establishment and Maintenance of Customer Accounts ..................................................................... 13-10 § 13:2.1 Customer Account Record Information.............. 13-10 [A] SEC Information Collection Requirements ........ 13-10 [B] NYSE Information Collection Requirements (Retired) .............................................................. 13-13 [C] FINRA Information Collection Requirements ...................................................... 13-13 [D] MSRB Information Collection [E] Requirements ...................................................... 13-17 USA PATRIOT Act Rules and Bank Secrecy Act Rules ................................................ 13-18 [E][1] CIP Rule .......................................................... 13-18 [E][2] AML Rules....................................................... 13-21 [F] OFAC Checks and SARs..................................... 13-24 [G] Clearing Arrangements....................................... 13-24 [H] Customers Who Are Associated Persons ............ 13-24 [I] Customers Which Are Not Natural Persons ...... 13-26 § 13:2.2 Acceptance of Accounts ...................................... 13-26 [A] NYSE Account Opening Rules............................ 13-26 [B] FINRA Account Opening Rules .......................... 13-27 [C] MSRB Account Opening Rules ........................... 13-28 [D] Special Rules for Certain Types of Accounts....... 13-28 [D][1] Table of Contents Warrants, Options Accounts and Securities Futures Accounts ............................................. 13-28 [D][2] Day-Trading Accounts ..................................... 13-29 [D][3] Penny Stock Trading Accounts ........................ 13-30 [D][4] Variable Annuity Accounts .............................. 13-30 [D][5] Fee-Based Accounts.......................................... 13-31 § 13:2.3 Account Opening Disclosures and Notifications ....................................................... 13-31 [A] Clearing Arrangements....................................... 13-32 [B] Customer Account Record Notification.............. 13-32 [C] Complaint Department Notification .................. 13-32 [D] CIP Notice .......................................................... 13-33 [E] Privacy Notice..................................................... 13-33 [F] Payment for Order Flow Disclosures .................. 13-34 [G] Bank Networking Arrangements ........................ 13-34 [H] SIPC Information ............................................... 13-35 [I] Margin Account Disclosures............................... 13-35 [J] Special Account and Transaction Disclosures..... 13-36 [K] Business Continuity Plan Notice........................ 13-37 [L] Rule Proposals..................................................... 13-38 § 13:2.4 Customer Account Agreements .......................... 13-38 (Broker-Dealer Reg., Rel. #3, 5/13) lxxi
Page 1 and 2: Table of Contents VOLUME 1 About th
Page 3 and 4: [A] Generally .....................
Page 5 and 6: Table of Contents Chapter 3 Brokers
Page 7 and 8: Table of Contents Chapter 5 Broker-
Page 9 and 10: Table of Contents § 5A:6.2 Exempti
Page 11 and 12: Table of Contents [E] Damages .....
Page 13 and 14: Table of Contents § 6:7.5 Qualific
Page 15 and 16: § 8:3.5 Training..................
Page 17 and 18: § 10:5 Harmonizing the Broker-Deal
Page 19: Table of Contents § 12:2.7 Use of
Page 23 and 24: § 13:4.2 Firm-Initiated Transfers
Page 25 and 26: [B][2] Disclosures Applicable to Mu
Page 27 and 28: Table of Contents [C][2] Financial
Page 29 and 30: § 15:2.3 MSRB Rules ..............
Page 31 and 32: [D][3] SEC v. Materia: Misappropria
Page 33 and 34: § 17:4 SRO Research Rules.........
Page 35 and 36: § 17:6 Global Research Analyst Set
Page 37 and 38: § 18:5.2 Definition of Exchange ..
Page 39 and 40: § 18:7.2 Exchange Act Rule 15c3-5
Page 41 and 42: [D] Price Improvement .............
Page 43 and 44: Table of Contents § 20:5.2 The Dut
Page 45 and 46: Table of Contents [D] Introducing B
Page 47 and 48: § 25:3 Understanding the Arrangeme
Page 49 and 50: Table of Contents § 25:17.31 Anti-
Page 51 and 52: Table of Contents § 27:7.1 Disclos
Page 53 and 54: Table of Contents § 28:2.4 Fraudul
Page 55 and 56: [C] Risk Management for Banks......
Page 57 and 58: Table of Contents Chapter 31A SEC a
Page 59 and 60: PART X: Compliance, Examinations, a
Page 61 and 62: Table of Contents § 33:3.8 Where R
Page 63 and 64: [B] Administrative Proceedings.....
Page 65 and 66: § 36:2.2 To What Extent Should the
Page 67 and 68: Table of Contents § 37:4.1 Broker-
Page 69 and 70: Table of Contents § 37B:2.3 Arbitr
Page 71 and 72:
§ 37C:3.2 Institutional Investment
Page 73 and 74:
Table of Contents § 37D:3 Treasury
Page 75 and 76:
Table of Contents § 38:6.4 Educati
Page 77 and 78:
§ 39:5.6 Rule G-34 CUSIP Numbers a
Page 79 and 80:
§ 40:2.2 Municipal Entity and Obli
Page 81 and 82:
Table of Contents [E] Communication
Page 83 and 84:
§ 42:4.3 Exclusive Benefit Rule...
Page 85 and 86:
Table of Contents [C] Underwriting
Page 87 and 88:
Table of Contents [D] Implications
Page 89 and 90:
§ 42C:3.2 Consequences of Breachin
Page 91 and 92:
Table of Contents § 42D:3.3 Applic
Page 93 and 94:
§ 42E:6 Considerations in Connecti
Page 95 and 96:
PART XVI: Special Topics Table of C
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§ 44:4 FINRA Rule 5121 (Public Off
Page 99 and 100:
§ 44:9.3 Procedures Required by Ru
Page 101 and 102:
[B][3] Stabilizing When the Princip
Page 103 and 104:
Chapter 46 U.S. Securities Activiti
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