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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 13:2.5 Changes in Account Information ....................... 13-40 [A] Change of Account Name or Address................. 13-40 [B] Change in Account Investment Objective .......... 13-41 [C] Change in Options Account and Security [D] Futures Account Information ............................. 13-41 Thirty-Six-Month Updating of Account Information......................................................... 13-41 § 13:2.6 Maintenance of Customer Account Information......................................................... 13-42 [A] Retention Requirements ..................................... 13-42 [B] Location Requirements ....................................... 13-42 [C] Reliance on Third Parties ................................... 13-43 [D] Safeguarding Customer Account Information ...... 13-43 § 13:2.7 Customer Account Fees and Charges ................. 13-44 § 13:2.8 Monitoring Customer Accounts ......................... 13-45 § 13:3 Handling Customer Orders, Funds and Securities....... 13-46 § 13:3.1 Handling Customer Transaction Orders............. 13-47 [A] Soliciting and Taking Customer Orders.............. 13-47 [B] Entering and Recording Customer Orders.......... 13-48 [C] Executing Customer Orders................................ 13-50 [D] Approving Orders; Diligence Requirements........ 13-50 [E] Orders for Discretionary Accounts ..................... 13-51 [F] Settling Customer Transactions.......................... 13-52 § 13:3.2 Receipt and Holding of Customer Funds and Securities...................................................... 13-53 [A] Record-Making Requirements............................. 13-53 [B] Cash Reporting Requirements ............................ 13-53 [C] Segregation and Control Requirements for Customer Funds and Securities .......................... 13-54 [D] Escrow Account Requirements ........................... 13-54 [E] Use of Customer Funds or Securities ................. 13-55 § 13:3.3 Disbursements from Customer Accounts........... 13-55 § 13:3.4 Collateral Transactions with Customers ............ 13-56 [A] Sharing in Customer Profits or Losses ............... 13-56 [B] Sharing Commissions with Non-Members ........ 13-57 [C] Extending Credit on New Offerings Where a Broker-Dealer Is a Member of the Selling Group.................................................................. 13-57 [D] Broker-Dealer Self-Offerings................................ 13-58 § 13:3.5 Dealing with Customers..................................... 13-58 § 13:3.6 Gifts and Entertainment for Customers ............. 13-60 § 13:4 Transferring and Closing Customer Accounts............ 13-61 § 13:4.1 Customer-Initiated Transfers .............................. 13-61 lxxii

§ 13:4.2 Firm-Initiated Transfers of Customer Accounts ............................................................. 13-62 [A] Change in Money Market Sweep Account ......... 13-62 [B] Bulk Transfer by Member Firm .......................... 13-63 [C] Block Transfer of Representative’s Book ............. 13-64 [D] AML Considerations........................................... 13-65 § 13:4.3 Closing Customer Accounts ............................... 13-66 § 13:5 Customer Communications ....................................... 13-67 § 13:5.1 Transaction Disclosure Requirements................. 13-67 [A] Non-Municipal Securities Transactions.............. 13-67 [A][1] Transaction Confirmations.............................. 13-67 [A][2] Use of Alternative Periodic Account Statements....................................................... 13-73 [A][3] Other Periodic Account Statement Requirements................................................... 13-75 [A][4] Person Entitled to Confirmations and Account Statements......................................... 13-76 [B] Confirmations for Municipal Securities ............. 13-77 [C] Record Retention Requirements for Confirmations..................................................... 13-78 [D] Proposed Rules.................................................... 13-78 § 13:5.2 Other Notices ..................................................... 13-79 [A] Notice of Public Disclosure Program .................. 13-79 [B] SIPC Notice ........................................................ 13-80 [C] Table of Contents Other Customer Notice and Disclosure Requirements ...................................................... 13-80 § 13:5.3 Electronic Delivery to Customers of Required Reports and Information..................................... 13-81 § 13:5.4 Correspondence and Other Communications with Customers .................................................. 13-82 § 13:5.5 Duty to Forward Communications..................... 13-84 § 13:6 Customer Complaints and Disputes .......................... 13-84 § 13:6.1 Record-Keeping Requirements............................. 13-84 § 13:6.2 Response to and Resolution of Customer Complaints ......................................................... 13-85 [A] Use of SRO Arbitration Forum........................... 13-86 [B] Settlement Agreements....................................... 13-86 [C] Reserving for Contingencies ............................... 13-86 § 13:6.3 Reporting Requirements...................................... 13-86 (Broker-Dealer Reg., Rel. #3, 5/13) lxxiii

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