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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 25:17 Considerations in Negotiating a Clearing Arrangement............................................................... 25-38 § 25:17.1 Business Activities .............................................. 25-38 § 25:17.2 Due Diligence and Clearing Arrangements Checklist............................................................. 25-39 § 25:17.3 Amount of Clearing Deposit............................... 25-39 § 25:17.4 ACT Credit Line................................................. 25-39 § 25:17.5 Cost of Clearing.................................................. 25-39 § 25:17.6 PAIB .................................................................... 25-40 § 25:17.7 Financial Reports and Financial Information ..... 25-40 § 25:17.8 Registration......................................................... 25-40 § 25:17.9 Customer Accounts ............................................ 25-40 § 25:17.10 Acceptance of Accounts and Sales Practice Obligations.......................................................... 25-41 § 25:17.11 Compliance Procedures and Exception Reports................................................................ 25-41 § 25:17.12 Margin and Extension of Credit ......................... 25-42 § 25:17.13 Maintenance of Books, Records and Reports ...... 25-42 § 25:17.14 Reports by the Introducing Firm to the Clearing Firm...................................................... 25-42 § 25:17.15 Customer Funds and Securities .......................... 25-43 § 25:17.16 Local Deposit of Funds and Drafting Authority............................................................. 25-43 § 25:17.17 Confirmations and Account Statements............. 25-43 § 25:17.18 Execution of Orders and Transactions ................ 25-43 § 25:17.19 Clearing Agreement Allocation of Responsibilities and Obligations Between Clearing Firm and Introducing Broker in Connection with Risk Management Controls for Clearing Firms Providing Direct Market Access.......................................... 25-44 § 25:17.20 Commissions and Fees ....................................... 25-44 § 25:17.21 Return of Clearing Firm Deposit ........................ 25-45 § 25:17.22 Indemnification .................................................. 25-45 § 25:17.23 Exclusive Services................................................ 25-45 § 25:17.24 Proprietary Trading, Underwriting, Market Making and Specialist Activities......................... 25-45 § 25:17.25 Disciplinary Action, Regulatory Forms and Notices................................................................ 25-46 § 25:17.26 Use of Clearing Firm’s Name ............................. 25-46 § 25:17.27 Excess SIPC Coverage......................................... 25-46 § 25:17.28 Termination ........................................................ 25-46 § 25:17.29 Confidentiality and Non-Solicitation Provisions............................................................ 25-47 § 25:17.30 Arbitration .......................................................... 25-47 xcviii

Table of Contents § 25:17.31 Anti-Money Laundering, OFAC and Fact Act Coordination Provisions ..................................... 25-47 § 25:17.32 Impact of FINRA Rule 1230 Regarding Registration of Operations Professionals............. 25-48 § 25:18 Negative Consent Letters and Bulk Account Transfers ..................................................................... 25-49 § 25:19 Third-Party Liability of Clearing Firm and Introducing Brokers .................................................... 25-50 § 25:20 SEC Proposal Regarding Broker-Dealer Annual Reports, PCAOB Audit Requirements for Broker-Dealers, Custody Form, and Broker-Dealer Compliance Assertions ............................................... 25-51 Appendix 25A FINRA Rule 4311..................................... App. 25A-1 Appendix 25B SEC Rule 15c3-5 .......................................App. 25B-1 Appendix 25C International Prime Brokerage Guidance–RN 07-58 (Nov. 2007)............. App. 25C-1 Appendix 25D Checklist for Clearing Firm and Introducing Firm Due Diligence..................................App. 25D-1 PART IX: Other Requirements Chapter 26 Anti-Money Laundering Regulations Applicable to Broker-Dealers Betty Santangelo & Sung-Hee Suh § 26:1 Overview....................................................................... 26-2 § 26:2 The Money Laundering Control Act of 1986............... 26-3 § 26:3 The USA PATRIOT Act................................................ 26-5 § 26:3.1 AML Programs...................................................... 26-5 § 26:3.2 Customer Identification and Verification.............. 26-9 [A] Customer Due Diligence .................................... 26-14 § 26:3.3 Special Due Diligence Requirements for Financial Institutions Providing Private Banking or Correspondent Banking for Foreign Clients.................................................... 26-15 [A] Private Banking Accounts ................................... 26-17 [B] Correspondent Accounts..................................... 26-17 § 26:3.4 Prohibition Against Foreign Shell Banks, Foreign Bank Certification and Record Keeping .............. 26-20 § 26:3.5 Special Measures for Jurisdictions, Financial Institutions, or International Transactions or Accounts of Primary Money Laundering Concern .............................................................. 26-23 (Broker-Dealer Reg., Rel. #3, 5/13) xcix

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