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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 17:4.14 Disclosure Requirements .................................... 17-50 [A] Conflicts of Interest ............................................ 17-51 [A][1] Securities Ownership and Employment Disclosures ...................................................... 17-51 [A][2] Additional Disclosures by Member Firms ............................................................... 17-52 [A][3] Additional Disclosure by Analysts................... 17-55 [A][4] All Other Actual, Material Conflicts ............... 17-55 [B] Meaning and Distribution of Ratings ................. 17-56 [C] Price Charts and Price Targets ............................ 17-56 [D] Market Making ................................................... 17-57 [E] Manner of Disclosure ......................................... 17-57 [F] Special Rules for Compendium Reports ............. 17-58 [G] SRO Staffs’ Recommendation for Disclosure Presentation ...................................... 17-59 § 17:4.15 Registration, Qualification, and Continuing Education for Research Analysts......................... 17-60 § 17:4.16 Supervisory Procedures ....................................... 17-62 § 17:4.17 Permanent Exemption for Small Firms .............. 17-62 § 17:4.18 Significant Additions in the 2008 FINRA Proposal .............................................................. 17-63 § 17:5 SEC’s Regulation AC (Analyst Certification).............. 17-64 § 17:5.1 Summary ............................................................ 17-64 § 17:5.2 Certification of Research Reports........................ 17-65 § 17:5.3 Public Appearances ............................................. 17-67 § 17:5.4 “Covered Persons”—Application of Regulation AC to Persons Associated with a Broker-Dealer........................................... 17-69 [A] Application to Investment Advisers and Banks .................................................................. 17-71 [B] Application to the News Media .......................... 17-71 § 17:5.5 Third-Party Research........................................... 17-72 § 17:5.6 Interpretive Guidance on What Is and Is Not Research for Regulation AC......................... 17-73 § 17:5.7 Who Is a Research Analyst?................................ 17-75 § 17:5.8 Application to Research Provided by Non-U.S. Firms .................................................. 17-76 § 17:5.9 Alternative Compliance Methods for Certain Research................................................. 17-77 [A] Quantitative and Technical Research.................. 17-77 [B] Compendium Reports......................................... 17-78 § 17:5.10 Supervision and Review of Research ................... 17-78 § 17:5.11 Enforcement; Fraud Liability Under the Federal Securities Laws ....................................... 17-79 lxxxiv

§ 17:6 Global Research Analyst Settlement........................... 17-80 § 17:6.1 Summary ............................................................ 17-80 § 17:6.2 Scope................................................................... 17-83 [A] U.S.-Oriented Applicability................................. 17-83 [B] Definition of Research Report............................. 17-84 [B][1] Equity Research ............................................... 17-84 [B][2] Excepted Communications.............................. 17-84 [C] Definition of Research ........................................ 17-86 [D] Definition of Investment Banking ...................... 17-86 [E] Exempt Investment Adviser Affiliates................. 17-86 § 17:6.3 Physical Separation ............................................. 17-87 § 17:6.4 Reporting Lines ................................................... 17-87 § 17:6.5 Communications Firewalls Between Research and Investment Banking...................... 17-88 [A] Views About the Merits of a Proposed Transaction, a Potential Candidate for a Transaction, or Market or Industry Trends, [B] Conditions or Developments.............................. 17-88 Communications to Commitment or Similar Committee ............................................. 17-90 [C] Confirming the Adequacy of Disclosure ............. 17-90 [D] Post-Mandate Communications ......................... 17-91 [D][1] Views on Pricing and Structuring .................... 17-91 [D][2] Sales Force Education ...................................... 17-91 [E] Conferences ........................................................ 17-93 [F] Matters of General Firm Interest........................ 17-93 [G] Legal and Compliance Issues.............................. 17-94 [H] Table of Contents Communications Not Related to Research or Investment Banking............................................ 17-94 § 17:6.6 Prohibition on Soliciting Investment Banking Business ................................................ 17-94 [A] Particular Communications with Issuer at Issuer’s Request .............................................. 17-95 [B] No Three-Way Meetings ..................................... 17-95 § 17:6.7 Prohibition on Road Show Participation............. 17-96 § 17:6.8 Marketing and Selling Efforts ............................. 17-96 § 17:6.9 Research Coverage Decisions.............................. 17-97 § 17:6.10 Termination of Research Coverage ..................... 17-98 § 17:6.11 Research Oversight ............................................. 17-99 § 17:6.12 Research Budget .................................................. 17-99 § 17:6.13 Compensation and Evaluation of Research Personnel ............................................................ 17-99 § 17:6.14 Legal and Compliance ...................................... 17-101 § 17:6.15 Policies and Procedures to Restrict Influence over Research .................................... 17-102 (Broker-Dealer Reg., Rel. #3, 5/13) lxxxv

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