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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

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

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