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BROKER-DEALER REGULATION § 33:2.3 Required Records................................................... 33-7 [A] Operational Records.............................................. 33-7 [B] Personnel Records ............................................... 33-12 [C] Lost Securities and Fingerprinting ...................... 33-14 [D] Broker-Dealer Systems ........................................ 33-14 [E] Client Account Records ...................................... 33-16 [F] Customer Complaints ........................................ 33-17 [G] Associated Person Compensation and Agreements ......................................................... 33-17 [H] Advertising Materials.......................................... 33-18 [I] Designated Persons to Explain Records; Record of Principals ............................................ 33-18 § 33:2.4 Exceptions to Rule 17a-3(a); Other Miscellaneous Provisions.................................... 33-18 § 33:3 Rule 17a-4: Records to Be Preserved by Certain Exchange Members, Brokers, and Dealers.................. 33-20 § 33:3.1 Operational Records and Other Records Required Under Rule 17a-3................................. 33-21 § 33:3.2 Financial Records................................................ 33-23 § 33:3.3 Corporate Records............................................... 33-24 § 33:3.4 Reports and Manuals .......................................... 33-24 § 33:3.5 Electronic Record Retention................................ 33-25 [A] The Advent of Electronic Record Keeping—1970–1990 .......................................... 33-25 [B] Electronic Storage Media—Release No. 32,609 (July 9, 1993) ...................................................... 33-26 [C] The Use of Electronic Media—Release Nos. 33-7233 (October 1995) and 33-7288 (May 1996) ......................................................... 33-27 [D] Electronic Storage Media—Release No. 38,245 [E] [F] [G] [H] (February 1997)................................................... 33-28 Books and Records Requirements for Broker-Dealers—Exchange Act Release No. 44,992 (2001) .............................................. 33-30 The Electronic Signatures in Global and National Commerce Act of 2000 ....................... 33-31 The Commission Provides Guidance on Electronic Records Retention and Preservation— Release No. 47,806 (May 2003)......................... 33-33 Record-Keeping Compliance and Social Media ....................................................... 33-33 § 33:3.6 Exceptions to Rule 17a-4; Other Miscellaneous Provisions............................................................ 33-35 § 33:3.7 Requirement to Make Records Available to the SEC............................................................... 33-36 cx
Table of Contents § 33:3.8 Where Records Must Be Kept ............................. 33-37 § 33:3.9 Email Record Retention ...................................... 33-37 § 33:4 Recent Enforcement Actions....................................... 33-37 Chapter 34 SEC and FINRA Inspections Clifford E. Kirsch & Holly H. Smith § 34:1 Overview....................................................................... 34-2 § 34:2 SEC Examinations ........................................................ 34-3 § 34:2.1 Authority to Conduct Examinations..................... 34-3 § 34:2.2 Types of Examinations.......................................... 34-3 § 34:3 Mechanics of an Inspection.......................................... 34-4 § 34:3.1 Selection................................................................ 34-4 § 34:3.2 Preparation............................................................ 34-4 [A] SEC Preparation.................................................... 34-4 [B] Preparation by the Firm........................................ 34-4 [C] Role of the CCO ................................................... 34-5 § 34:3.3 The SEC’s Request for Information...................... 34-5 [A] Generally .............................................................. 34-5 [B] Scope of SEC’s Authority to Request Documents ........................................................... 34-6 § 34:3.4 Issues Related to Document Production............... 34-6 [A] Generally .............................................................. 34-6 [B] Production to the SEC Staff—Effect on Privilege ................................................................ 34-7 [C] Return of Documents ........................................... 34-8 [D] Seeking Confidential Treatment ........................... 34-8 § 34:3.5 SEC’s Activity on the Premises ............................ 34-9 § 34:3.6 Notification of Findings...................................... 34-10 § 34:4 FINRA Examinations.................................................. 34-11 § 34:4.1 Generally............................................................. 34-11 § 34:4.2 Statutory Authority............................................. 34-11 [A] [B] Examination Authority Granted to Self-Regulatory Organizations............................. 34-11 Allocation of Regulatory Responsibility Among SROs ...................................................... 34-12 [C] Scope of FINRA Examination Authority............. 34-13 § 34:4.3 Types of Examinations........................................ 34-14 [A] Cycle Exams ....................................................... 34-14 [A][1] Generally ......................................................... 34-14 [A][2] Conduct of the Exam....................................... 34-16 [B] Cause Exams ...................................................... 34-18 [C] Branch Exams ..................................................... 34-19 [D] Market Regulation Exams................................... 34-19 [E] Sweep Exams ...................................................... 34-20 (Broker-Dealer Reg., Rel. #3, 5/13) cxi
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 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: PART X: Compliance, Examinations, a
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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