Views
3 years ago

Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION [B][1][b][iv] Proposals to Amend the Compensation Provisions .................................................. 14-55 [B][1][c] Mutual Funds................................................ 14-55 [B][1][c][i] Sales Charge Limits ................................... 14-57 [B][1][c][ii] Fairness Standards ..................................... 14-59 [B][1][c][iii] Rule 12b-1 Fees.......................................... 14-59 [B][1][c][iv] Uniform Sales Charges; Breakpoints and Discounts................................................... 14-60 [B][1][c][v] Breakpoint Compliance ............................. 14-61 [B][1][c][vi] B Share Sales ............................................. 14-62 [B][1][c][vii] SEC Rulemaking Initiatives and Industry Developments Relating to Multi-Class Structure ................................ 14-63 [B][1][c][viii] Compensation Through Portfolio [B][1][c][ix] Transactions............................................... 14-63 2004 Ban on Directed Brokerage Arrangements ............................................ 14-68 [B][1][c][x] Receipt of Securities As Compensation ..... 14-70 [B][1][c][xi] Non-Cash Compensation .......................... 14-71 [B][1][c][xii] Additional Charges to Customer ............... 14-71 [B][1][c][xiii] The Broker Exception ................................ 14-72 [B][1][d] Variable Insurance Contracts ........................ 14-72 [B][2] Private Offerings—Private Placements............. 14-74 § 14:2.4 General Conduct Rules....................................... 14-75 § 14:3 Sharing in Securities Transaction Compensation....... 14-75 § 14:3.1 When Compensation Triggers Registration Requirements ...................................................... 14-76 [A] Exemptions and Exclusions ................................ 14-77 [B] Safe Harbor for Issuers and Their Associated Persons.............................................. 14-77 § 14:3.2 Regulation of Compensation Sharing Arrangements Among Broker-Dealers................. 14-78 [A] Arrangements with Other Members................... 14-79 [A][1] Generally ......................................................... 14-79 [A][2] Rules for Offerings ........................................... 14-79 [B] Compensation Sharing Arrangements with Non-Member Firms ............................................ 14-80 [B][1] Arrangements with Exempt Parties ................. 14-81 § 14:3.3 Restrictions on Other Compensation Sharing Arrangements...................................................... 14-82 [A] Owners ............................................................... 14-82 [B] Finder’s Fees and Referral Arrangements ........... 14-82 [C] Networking Arrangements.................................. 14-86 [C][1] Gramm-Leach-Bliley Act ................................. 14-86 lxxvi

Table of Contents [C][2] Financial Institution Networking Arrangements .................................................. 14-88 [C][3] Insurance Agency Networking Arrangements .................................................. 14-89 [D] Affinity Arrangements ........................................ 14-91 [E] Accounting Firm Arrangements.......................... 14-92 [F] Administrative Services Arrangements ............... 14-94 [G] Payroll Processing, Employee Leasing and Paymaster Arrangements .................................... 14-94 [G][1] Payroll Processing and Employee Leasing Services ............................................... 14-95 [G][2] Affiliated Adviser Paymaster Arrangements ...... 14-96 [G][3] Insurance Company Paymaster Arrangements .................................................. 14-96 [G][4] Other Paymaster Arrangements....................... 14-98 [H] Payment to Selling Firms on Behalf of Distributor .......................................................... 14-98 [I] Sale of a Broker-Dealer Firm or Its Accounts....... 14-99 [J] Rebates and Gifts to Customers ......................... 14-99 [J][1] Securities Trades .............................................. 14-99 [J][2] Offerings ........................................................ 14-100 [J][3] Gifts and Entertainment................................ 14-102 § 14:4 Payments to Associated Persons ............................... 14-104 § 14:4.1 General Rules and Principles Governing Payments to Associated Persons ....................... 14-105 [A] Compensation Practices and Methodology....... 14-106 [B] Registration Requirements for Associated Persons.............................................................. 14-107 [C] Compensation Restrictions Due to Registration Classification ................................ 14-108 [D] Receipt of Securities Compensation from an Unregistered Person.......................................... 14-110 [E] Receipt of Compensation from Another Member ............................................................ 14-111 [F] Assignments of Compensation by Registered Persons............................................. 14-113 [G] Payments to Former Registered Persons ........... 14-114 [H] Sharing Compensation with Other Registered Persons............................................. 14-116 [I] Receipt of Compensation for Other Business Activities ............................................ 14-117 § 14:4.2 Regulation of Cash Compensation ................... 14-118 [A] Tully Committee Report on Compensation Practices.................................... 14-119 [B] Regulatory Response to the Tully Report .......... 14-121 (Broker-Dealer Reg., Rel. #3, 5/13) lxxvii

Coverage List - Practising Law Institute
Help Menu - Discover PLUS - Practising Law Institute
Practising Law Institute 14th Annual Real Estate Tax Forum UPREIT ...
PLI's Patent Bar - Practising Law Institute
Practising Law Institute's Understanding Insurance ... - Reed Smith
Practising Law Institute CLE Program Current ... - Reed Smith
Practising Law Institute - Seyfarth Shaw LLP
Table of Contents
Table of Contents - The Center for International Environmental Law
Table Of Contents - International Institute for Building Biology and ...
Table of Contents - HNX
Slides - Food and Drug Law Institute
table of contents this is noble - Noble Group
Table of Contents - Brevard Public Schools
Table of Contents - Upper Saucon Township
TABLE OF CONTENTS - Securities Commission of the Bahamas
Table of Contents - TradeMotion.com
View the table of contents and read an excerpt - WorldatWork
TABLE OF CONTENTS - Veterinary Medicines Directorate - Defra
Table of contents - Food Marketing Institute
Table of Contents - Richland College - Dallas County Community ...
table of contents - SUNY Institute of Technology
10 TABLE CONTENTS pgs I-X new.qxp - Monmouth County
Table of contents - Johns Hopkins Medical Institutions