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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

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

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