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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
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 and 20: Table of Contents § 12:2.7 Use of
Page 21 and 22: § 13:2 Establishment and Maintenan
Page 23 and 24: § 13:4.2 Firm-Initiated Transfers
Page 25: [B][2] Disclosures Applicable to Mu
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
Page 97 and 98:
§ 44:4 FINRA Rule 5121 (Public Off
Page 99 and 100:
§ 44:9.3 Procedures Required by Ru
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[B][3] Stabilizing When the Princip
Page 103 and 104:
Chapter 46 U.S. Securities Activiti
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