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BROKER-DEALER REGULATION Chapter 29 Reserved Chapter 30 Business Continuity Planning Clifford E. Kirsch § 30:1 Introduction.................................................................. 30-1 § 30:2 Text of FINRA Rule 4370 ............................................. 30-2 § 30:3 Business Continuity Plan Requirements ...................... 30-4 § 30:3.1 Coverage and Required Elements.......................... 30-4 [A] Reliance on a Parent Corporation’s Plan .............. 30-5 [B] Reliance on Others ............................................... 30-6 [B][1] Clearing Firm .................................................... 30-6 § 30:3.2 Approval, Updating, and Annual Review.............. 30-6 § 30:3.3 Customer Disclosure Requirements ..................... 30-6 [A] Plan Modifications................................................ 30-7 § 30:4 Emergency Contact Information .................................. 30-7 Chapter 31 Outsourcing by Financial Services Firms Stuart D. Levi § 31:1 Overview....................................................................... 31-3 § 31:1.1 Benefits of Outsourcing Financial Services ........... 31-4 § 31:1.2 Risks of Outsourcing Financial Services ............... 31-4 § 31:2 Drafting Considerations ............................................... 31-5 § 31:2.1 Compliance with the Law..................................... 31-5 § 31:2.2 Compliance with Policies and Procedures ............ 31-6 § 31:2.3 Subcontracting ...................................................... 31-6 § 31:2.4 Key Staff................................................................ 31-6 § 31:2.5 Termination .......................................................... 31-7 § 31:2.6 Security ................................................................. 31-7 § 31:2.7 Indemnification .................................................... 31-7 § 31:2.8 Audits.................................................................... 31-8 § 31:2.9 Data Protection..................................................... 31-8 § 31:3 U.S. Regulatory Framework .......................................... 31-8 § 31:3.1 Federal Reserve Board ........................................... 31-9 [A] Overview............................................................... 31-9 [B] Risk Mitigation in Financial Services Outsourcing ........................................................ 31-10 [B][1] Identifying Challenges and Risks .................... 31-11 [B][2] Best Practices for Mitigating Risk.................... 31-12 [C] FRB Supervisory Letter: Outsourcing of Information and Transaction Processing ............ 31-14 § 31:3.2 Office of Comptroller of Currency...................... 31-16 [A] Overview............................................................. 31-16 [B] Foreign-Based Third-Party Service Providers....... 31-17 civ
[C] Risk Management for Banks............................... 31-18 [D] Standards for Safeguarding Customer Information......................................................... 31-19 [E] Country Risk ...................................................... 31-20 [F] Third-Party Relationships ................................... 31-21 [F][1] Categories of Risk............................................ 31-21 [F][2] Risk Management............................................ 31-22 [F][3] Oversight ......................................................... 31-23 § 31:3.3 Federal Deposit Insurance Corporation .............. 31-24 [A] Overview............................................................. 31-24 [B] Foreign-Based Third-Party Service Providers ............................................................. 31-24 [B][1] Categories of Risk............................................ 31-25 [B][2] Risk Assessment.............................................. 31-25 [C] Offshoring of Data Services ................................ 31-27 [C][1] Identifying Risks.............................................. 31-27 [C][2] Recommendations and Best Practices.............. 31-29 [D] Country Risk Management ................................ 31-32 [E] [E][1] [E][2] [E][3] Outsourcing Technology Products and Services ............................................................... 31-32 Effective Practices for Selecting a Service Provider............................................................ 31-33 Tools to Manage Technology Providers’ Performance Risk: Service Level Agreements ...................................................... 31-34 Techniques for Managing Multiple Service Providers .......................................................... 31-35 [F] Compliance with Bank Service Company Act.... 31-37 § 31:3.4 Office of Thrift Supervision ................................ 31-38 [A] Overview............................................................. 31-38 [B] Information Technology and Risk Controls........ 31-38 [C] Third-Party Arrangements .................................. 31-40 [C][1] Regulation and Examination Requirements .... 31-40 [C][2] Management Responsibilities .......................... 31-41 [C][3] OTS Supervision.............................................. 31-43 [D] Internal Controls and Outsourcing .................... 31-43 § 31:3.5 National Credit Union Administration .............. 31-44 [A] Overview............................................................. 31-44 [B] Due Diligence Over Third-Party Service Providers ............................................................. 31-45 § 31:3.6 Federal Financial Institutions Examination Council ............................................................... 31-45 [A] Overview............................................................. 31-45 [B] Table of Contents Evaluating a Financial Institution’s Risk Management Processes ....................................... 31-46 (Broker-Dealer Reg., Rel. #3, 5/13) cv
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 and 50: Table of Contents § 25:17.31 Anti-
Page 51 and 52: Table of Contents § 27:7.1 Disclos
Page 53: Table of Contents § 28:2.4 Fraudul
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
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