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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

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

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