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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 27:7.7 Policies and Procedures to Safeguard Information......................................................... 27-45 [A] The Safeguard Rule............................................. 27-46 [B] The Disposal Rule .............................................. 27-46 [C] Guidance from Other Regulators........................ 27-47 [D] Online Activities................................................. 27-50 [E] Proposed Amendments to the Safeguard and Disposal Rules .................................................... 27-51 [E][1] Proposed Amendments to the Safeguards Rule.................................................................. 27-51 [E][1][a] Proposed Objectives of the Information Security Program........................................... 27-52 [E][1][b] Other Proposed Requirements for the Information Security Program....................... 27-53 [E][1][c] Procedures for Security Breach ...................... 27-53 [E][2] Proposed Amendments to the Disposal Rule.................................................................. 27-55 [E][3] Proposed Recordkeeping Requirements............ 27-57 [E][4] Industry Responses to Proposed Amendments ................................................... 27-57 § 27:8 Penalties for Violations of Privacy Laws and Enforcement Actions .................................................. 27-58 § 27:8.1 Recent Enforcement Actions............................... 27-58 § 27:8.2 No Private Cause of Action ................................ 27-61 § 27:9 Regulation S-AM ........................................................ 27-63 § 27:9.1 Proper Use of Information Eligibility Information......................................................... 27-64 § 27:9.2 Notice and Opt-Out Requirement ...................... 27-64 § 27:9.3 Scope and Contents of Opt-Out Notice.............. 27-64 § 27:9.4 Delivery of Opt-Out Notice ................................ 27-66 § 27:9.5 Renewal of Opt-Out Elections ............................ 27-66 Chapter 28 Practical Implications Regarding the Safeguarding of Customer Information Andrew C. Small & David E. Rosedahl § 28:1 Introduction.................................................................. 28-2 § 28:2 SEC Investigations and Enforcement............................ 28-5 § 28:2.1 Improper Recruiting Practices............................... 28-6 [A] NEXT Financial Group, Inc. ................................ 28-6 [B] Woodbury Financial Services, Inc. ........................ 28-8 § 28:2.2 Unsecure Disposal of Client Records: J.P. Turner & Co. LLC ............................................................ 28-8 § 28:2.3 Insufficient Antivirus Protection: Commonwealth Equity Services, LLP ................... 28-9 cii

Table of Contents § 28:2.4 Fraudulent Use of Client Information.................. 28-9 [A] SEC v. Mondschein & UNCI, Inc......................... 28-9 [B] Merriman Curhan Ford & Co............................. 28-10 § 28:2.5 Inadequate Server and Web Portal Security......... 28-11 [A] LPL Financial Corp............................................. 28-11 [B] D.A. Davidson & Co. ......................................... 28-12 [C] Lincoln Financial Securities Inc.......................... 28-12 § 28:2.6 Supervisors/Executives Accountable: Gunn Allen Financial ......................................... 28-13 § 28:3 FINRA Enforcement Actions ...................................... 28-13 § 28:3.1 Transmitting Information to Non-Affiliates: Jeffrey N. Lombardi............................................. 28-13 § 28:3.2 Failure to Safeguard Hard Copy Records: Hernan Chassy, Jr. .............................................. 28-14 § 28:3.3 Failure to Update Written Supervisory Procedures: Patrick Walker.................................. 28-14 § 28:4 FINRA Guidance ........................................................ 28-15 § 28:4.1 Registered Representatives Changing Firms: Regulatory Notice 07-36 ..................................... 28-15 § 28:4.2 FINRA Rules: Information Encryption Requirements: FINRA Rule 8210 ....................... 28-16 § 28:5 SEC Regulation S-P Safeguards Rule—Proposed Amendments .............................................................. 28-16 § 28:5.1 Information Security Programs........................... 28-19 [A] Generally ............................................................ 28-19 [B] Internal and External Risk Assessment .............. 28-20 [C] Developing Safeguarding Policies........................ 28-20 [D] Additional ISP Safeguards................................... 28-22 § 28:5.2 Responding to Unauthorized Access or Use of Personal Information............................... 28-23 § 28:5.3 Disposal of Personal Information ....................... 28-23 § 28:5.4 Record-Keeping ................................................... 28-24 § 28:5.5 Additional Exception to Notice and Opt-Out Requirements—Limited Information Disclosure When Personnel Leave Their Firms .....28-24 § 28:6 States’ Efforts to Safeguard Customer Information........28-26 § 28:6.1 Breach Notice Statutes........................................ 28-26 § 28:6.2 Security Freeze Laws ........................................... 28-27 § 28:6.3 Social Security Number Protection Laws ............ 28-27 § 28:6.4 Disposal of Personal Information Laws .............. 28-28 § 28:6.5 Encryption Statutes............................................. 28-28 § 28:7 Red Flags Rule: Identity Theft Prevention Programs..................................................................... 28-28 § 28:8 Implementing Policies and Procedures ....................... 28-29 § 28:9 Safeguarding Examinations......................................... 28-31 § 28:10 Conclusion ................................................................. 28-32 (Broker-Dealer Reg., Rel. #3, 5/13) ciii

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