Table of Contents - Practising Law Institute

More documents

Recommendations

Info

BROKER-DEALER REGULATION § 26:3.6 Suspicious Activity Reports (SARs)..................... 26-24 § 26:3.7 Information Sharing ........................................... 26-30 § 26:4 Other BSA Recording and Record-Keeping Provisions ................................................................... 26-32 § 26:4.1 Transactions Involving Currency Over $10,000: CTR Reporting .................................... 26-33 § 26:4.2 Transportation of Currency or Monetary Instruments Over $10,000 Into or Outside the United States: CMIR Reporting.......................... 26-34 § 26:4.3 FBAR Reporting .................................................. 26-35 § 26:4.4 Reporting of Purchases of Monetary Instruments Over $3,000 ................................... 26-36 § 26:4.5 Funds Transfer Rules........................................... 26-36 [A] The Joint Rule .................................................... 26-36 [B] The Travel Rule .................................................. 26-38 § 26:5 Office of Foreign Assets Control (OFAC).................... 26-39 Chapter 27 Privacy of Client Financial Information Stephanie Nicolas & Elena Schwieger § 27:1 Introduction.................................................................. 27-3 § 27:2 The Gramm-Leach-Bliley Act....................................... 27-4 § 27:3 Federal Privacy Regulations .......................................... 27-5 § 27:4 The Fair Credit Reporting Act ...................................... 27-5 § 27:4.1 Consumer Reports ................................................ 27-5 § 27:4.2 Consumer Reporting Agencies.............................. 27-6 § 27:5 Other Applicable Laws.................................................. 27-7 § 27:5.1 State and Local Laws ............................................ 27-7 § 27:5.2 International Laws.............................................. 27-10 § 27:6 Complying with Regulation S-P ................................. 27-11 § 27:6.1 Broker-Dealers Subject to Regulation S-P ........... 27-12 § 27:6.2 Customers and Consumers ................................ 27-14 [A] Application of the Definition of “Consumer” .... 27-15 [B] Application of the Definition of “Customer” ..... 27-16 [C] Examples of Customers and Consumers............ 27-16 § 27:6.3 Nonpublic Personal Information ........................ 27-17 [A] “Personally Identifiable Financial Information” ....................................................... 27-18 [B] “List, Description, or Other Grouping of [C] Consumers” ........................................................ 27-19 Does Not Include “Publicly Available” Information......................................................... 27-20 [C][1] Application to Information on the Internet....... 27-21 [C][2] Information That Is Unlawfully Obtained ...... 27-21 § 27:7 Complying with Regulation S-P ................................. 27-21 c
Table of Contents § 27:7.1 Disclosure Obligations........................................ 27-21 [A] Information to Be Included in Privacy Notices................................................................ 27-22 [A][1] Clear and Conspicuous.................................... 27-23 [A][2] Level of Detail Required................................... 27-24 [A][3] Written or Electronic Notice............................ 27-25 [A][4] Joint Notice by Two or More Financial Institutions ...................................................... 27-26 [A][5] Simplified Notice ............................................. 27-26 [B] Timing of Notices............................................... 27-26 [B][1] Initial Notice ................................................... 27-26 [B][2] Annual Notices................................................ 27-28 [B][3] Revised Policy Notices ..................................... 27-28 [C] Reasonable Expectation of Delivery .................... 27-28 [D] Joint Account Holders and Householding .......... 27-29 § 27:7.2 Disclosure of Nonpublic Personal Information and Consumer Report Information to Affiliates.............................................................. 27-30 [A] FCRA Opt-Out for Affiliate Sharing ................... 27-30 [B] Sharing Exceptions Under the FCRA ................. 27-30 [C] 2003 Amendments to the FCRA........................ 27-31 [D] State and Local Law Restrictions ........................ 27-33 § 27:7.3 Disclosures of Nonpublic Personal Information to Nonaffiliates............................... 27-34 [A] Reasonable Means to Opt Out ........................... 27-34 [B] Time to Opt Out ................................................ 27-35 [C] Effect of a Consumer’s Opt-Out Election........... 27-36 [D] Joint Accounts .................................................... 27-36 [E] FCRA Considerations ......................................... 27-37 [F] State and Local Law Restrictions ........................ 27-37 § 27:7.4 Model Privacy Form to Provide Safe Harbor for GLB Act Disclosures ..................................... 27-38 [A] Proposed Model Privacy Form ............................ 27-39 [B] Adopted Final Model Privacy Form .................... 27-40 § 27:7.5 Exceptions to Notice and Opt-Out Under Regulation S-P ......................................... 27-41 [A] Service Providers and Joint Marketers ................ 27-41 [B] Processing and Servicing Transactions................ 27-42 [C] At the Direction of the Consumer or for Other Limited Reasons ....................................... 27-43 [D] Proposed Exception for Limited Information Disclosure When Registered Representatives Change Firms ..................................................... 27-44 § 27:7.6 Reuse and Redisclosure by Third Parties ............ 27-45 (Broker-Dealer Reg., Rel. #3, 5/13) ci
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 and 26: [B][2] Disclosures Applicable to Mu
Page 27 and 28: Table of Contents [C][2] Financial
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: Table of Contents § 25:17.31 Anti-
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
Page 101 and 102:
[B][3] Stabilizing When the Princip
Page 103 and 104:
Chapter 46 U.S. Securities Activiti
show all

Table of Contents - Practising Law Institute

You also want an ePaper? Increase the reach of your titles

Delete template?

Save as template?