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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 31A:9.1 Relationship Between New Dodd-Frank and SOX Retaliation Claims .................................31A-20 § 31A:9.2 SEC Authority to Enforce Anti-Retaliation Provisions .......................................................31A-21 § 31A:9.3 Non-Waivability of Anti-Retaliation Protections......................................................31A-21 § 31A:9.4 Extraterritorial Application.............................31A-21 § 31A:10 SEC Communications with Whistleblowers and Attorney-Client Privilege .........................................31A-22 § 31A:11 Confidentiality Agreements.....................................31A-22 § 31A:12 Arbitration and Alternative Dispute Resolution..................................................31A-23 § 31A:13 Practical Considerations for Responding to the Whistleblower Rules..........................................31A-23 § 31A:13.1 Culture of Compliance ...................................31A-23 [A] Promote Compliance .......................................31A-25 [B] Codes of Conduct and Training ......................31A-25 [C] Mandatory Reporting of Potential Violations.........................................................31A-26 § 31A:13.2 Internal Reporting Procedures ........................31A-26 [A] Accessible Internal Reporting Systems ............31A-26 [B] Communicating Importance of Internal Reporting .........................................................31A-27 § 31A:13.3 Human Resources...........................................31A-27 [A] Screening New Employees ...............................31A-27 [B] Employee Evaluations......................................31A-27 [C] Manager Training ............................................31A-28 [D] Documenting Whistleblower Employment Actions.............................................................31A-28 [E] Exit Forms and Separation Releases ................31A-28 § 31A:13.4 Internal Investigations....................................31A-28 [A] Investigative Plans ...........................................31A-29 [B] Keeping Whistleblower Appraised....................31A-29 [C] Employee Interviews........................................31A-29 [D] [E] Use of Counsel ................................................31A-30 Policies Regarding Privileged and Confidential Information ................................31A-30 § 31A:14 Implications of the Whistleblower Rules for Enforcement Practice...............................................31A-31 § 31A:14.1 Self-Reporting .................................................31A-31 § 31A:14.2 Protect the Company’s Privileges ...................31A-32 § 31A:14.3 Assess Public Disclosure Issues......................31A-32 cviii

PART X: Compliance, Examinations, and Enforcement Chapter 32 Broker-Dealer Compliance Programs Clifford E. Kirsch § 32:1 Background ................................................................... 32-2 § 32:2 Rule 3012—Supervisory Control System...................... 32-3 § 32:2.1 Establishing the Supervisory Control [A] Table of Contents System .................................................................. 32-4 Activity Conducted by a Firm’s Producing Manager................................................................ 32-4 [B] Individual Policies and Procedures........................ 32-5 § 32:2.2 Maintaining and Testing the Supervisory Control System ..................................................... 32-6 § 32:2.3 Miscellaneous Procedures Outside NASD Rule 3012.............................................................. 32-7 [A] Inspection Procedures ........................................... 32-7 [B] Books and Records Checklist.............................. 32-10 [C] Discretionary Accounts Checklist....................... 32-10 § 32:3 Rule 3130—CCO Designation and CEO Annual Compliance Certification............................................ 32-10 § 32:3.1 Designation of CCO ........................................... 32-11 § 32:3.2 Report Review and Presentation ......................... 32-12 § 32:3.3 CEO Annual Compliance Certification .............. 32-13 § 32:4 Summary of Required Review Under the Compliance Program Rules .................................. 32-14 Appendix 32A Text of Relevant Rules .............................. App. 32A-1 Appendix 32B Compliance Checklist–Supervisory Control Amendments .............................. App. 32B-1 Appendix 32C Compliance Checklist–Structuring a Broker-Dealer Review Program..............App. 32C-1 Chapter 33 Record-Keeping John R. Hewitt § 33:1 Introduction.................................................................. 33-2 § 33:1.1 Legislative History ................................................ 33-3 § 33:1.2 Early Evolution of the Record-Keeping Rules ........ 33-3 § 33:2 Rule 17a-3: Records to Be Made by Certain Exchange Members, Brokers, and Dealers.................... 33-6 § 33:2.1 Overview ............................................................... 33-6 § 33:2.2 Coverage ............................................................... 33-7 (Broker-Dealer Reg., Rel. #3, 5/13) cix

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