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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 16:3.4 SEC’s Renewed Focus and New Specialized Units................................................................... 16-68 [A] Renewed Emphasis on Pursuit of Insider Trading Claims and Creation of New Specialized Units ................................................ 16-68 [B] Insider Trading Alleged in Credit Default Swap Transaction................................................ 16-69 Chapter 17 Research Analysts John T. Bostelman § 17:1 Summary ...................................................................... 17-4 § 17:1.1 Overview ............................................................... 17-4 § 17:1.2 SRO Research Rules.............................................. 17-5 [A] Research Department Separation.......................... 17-5 [B] Prohibition on Research Soliciting Investment Banking Business .................................................. 17-5 [C] Prohibition on Research Analyst Participation in Road Shows ...................................................... 17-6 [D] No Three-Way Meetings Involving Investors ............................................................... 17-6 [E] Requirement of Fair and Balanced Communications .................................................. 17-6 [F] Analyst Compensation ......................................... 17-6 [G] Blackout on Research and Public Appearances in Connection with [H] Offerings ............................................................... 17-6 Research Blackout When “Lock-Ups” Expire.................................................................... 17-7 [I] Termination of Coverage ...................................... 17-7 [J] Analyst Trading Restrictions................................. 17-7 [K] Disclosure Requirements ...................................... 17-7 [L] Analyst Exams ...................................................... 17-7 [M] Supervisory Procedures ......................................... 17-7 § 17:1.3 SEC’s Analyst Certification Rules......................... 17-7 § 17:1.4 Global Research Analyst Settlement..................... 17-8 § 17:2 Overview....................................................................... 17-9 § 17:2.1 Initial Regulatory Inquiries ................................... 17-9 § 17:2.2 From Inquiry to Regulation ................................ 17-10 [A] SRO Rulemaking and SOA Section 501 ............. 17-10 [B] SEC Rulemaking ................................................. 17-11 [C] Global Research Settlement ................................ 17-11 § 17:3 SOA Requirements ..................................................... 17-13 § 17:3.1 Summary of SOA Section 501............................ 17-13 § 17:3.2 Legislative History .............................................. 17-15 lxxxii

§ 17:4 SRO Research Rules.................................................... 17-16 § 17:4.1 Summary ............................................................ 17-16 [A] The SRO Research Rules .................................... 17-17 [B] Evolution of SRO Research Rules ....................... 17-20 § 17:4.2 Definition of Research Report............................. 17-22 [A] Excluded Material ............................................... 17-23 [B] Third-Party Research .......................................... 17-25 § 17:4.3 Definition of Public Appearance ......................... 17-28 § 17:4.4 Definition of Research Analyst ........................... 17-29 § 17:4.5 Research Department Separation........................ 17-31 [A] No Supervision of Research by Investment Banking............................................................... 17-31 [B] Restrictions on Prepublication Review of Research by Non-Research Personnel ................. 17-32 [C] Restrictions on Prepublication Review of Research by Subject Companies ......................... 17-33 [D] Prohibition on Promises of Favorable [E] Research.............................................................. 17-34 Prohibition on Directing Analysts to Undertake Selling or Marketing Efforts .............. 17-34 § 17:4.6 Prohibition on Research Solicitation of Investment Banking Business ............................. 17-35 § 17:4.7 Prohibition on Road Show Participation............. 17-36 § 17:4.8 Prohibition on Three-Way Communications Involving Investors.............................................. 17-37 § 17:4.9 Requirement of Fair and Balanced Communications ................................................ 17-38 § 17:4.10 Review of Analyst Compensation ....................... 17-39 § 17:4.11 Quiet Periods for Research and Public Appearances ........................................................ 17-41 [A] Managers and Co-Managers of Securities Offering............................................................... 17-41 [B] Participating Underwriters and Dealers.............. 17-43 [C] Upon Expiration of “Lock-Up” Agreements ......................................................... 17-44 § 17:4.12 Notice of Termination of Coverage..................... 17-45 § 17:4.13 Restrictions on Personal Trading by Research Analysts .............................................................. 17-46 [A] Prohibition Against Purchasing or Receiving Pre-IPO Securities............................... 17-47 [B] Blackout Periods ................................................. 17-48 [C] Trading Against Recommendation...................... 17-48 [D] Limited Exceptions ............................................. 17-49 [E] Table of Contents Application to Supervisors of Research Analysts .............................................................. 17-50 (Broker-Dealer Reg., Rel. #3, 5/13) lxxxiii

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