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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION [F] New Member Exams .......................................... 34-20 [G] Letter Exams ....................................................... 34-21 [H] Advertising Spot-Check Exams........................... 34-21 [I] Product-Based Exams.......................................... 34-21 [J] SEC Quality Exams ............................................ 34-21 § 34:4.4 Rights and Responsibilities Vis-à-Vis Members and FINRA.......................................... 34-22 [A] FINRA Right to Information and Inspection ........................................................... 34-22 [B] Duty to Comply.................................................. 34-22 § 34:5 FINRA Disciplinary Program...................................... 34-23 § 34:5.1 Generally............................................................. 34-23 § 34:5.2 Disciplinary Program .......................................... 34-24 [A] Delegation of Responsibility to FINRA............... 34-24 [B] Enforcement Department Investigation.............. 34-25 [C] Authorization of Proceedings .............................. 34-27 [D] Hearings.............................................................. 34-27 [E] Issuance and Review of Decisions ...................... 34-29 § 34:5.3 Resolution of Disciplinary Proceedings............... 34-30 § 34:5.4 Sanctions ............................................................ 34-30 § 34:5.5 SEC Review......................................................... 34-31 § 34:5.6 Statutory Disqualifications ................................. 34-32 § 34:5.7 Conclusion.......................................................... 34-32 Chapter 35 SEC and FINRA Enforcement Richard D. Marshall & Sean E. Kreiger § 35:1 Introduction.................................................................. 35-3 § 35:2 SEC Enforcement.......................................................... 35-4 § 35:2.1 Introduction.......................................................... 35-4 § 35:2.2 How the SEC Conducts an Investigation ............. 35-5 [A] Informal Inquiries................................................. 35-7 [B] Formal Investigations ........................................... 35-8 [B][1] Rights of Witnesses During Formal Investigation .................................................... 35-11 [B][1][a] Right to Counsel ........................................... 35-11 [B][1][b] Right to Evidence Provided and Transcript of Testimony ................................................. 35-12 [C] Conclusion of the Investigation.......................... 35-12 [C][1] The Wells Notice ............................................. 35-12 [C][2] Recommendation to the Commission............. 35-14 [C][3] Settlements ...................................................... 35-14 § 35:2.3 Outcomes of an Investigation............................. 35-14 [A] Injunctive Actions............................................... 35-15 [A][1] Money Penalty Awards .................................... 35-16 cxii

[B] Administrative Proceedings................................. 35-18 [C] Commission Review of Administrative Proceedings ......................................................... 35-19 [D] Referrals to Other Law Enforcement Organizations...................................................... 35-20 [E] Coordinated Investigations and Actions with Department of Justice......................................... 35-20 § 35:2.4 Consequences of an Enforcement Action ........... 35-21 [A] Rights Created by SEC Rules and Releases......... 35-23 [B] Statutory Rights.................................................. 35-24 [C] Constitutional Rights ......................................... 35-25 § 35:3 FINRA Disciplinary Practice and Procedures ............. 35-25 § 35:3.1 The Scope of FINRA Enforcement Authority............................................................. 35-25 § 35:3.2 Sources of FINRA Disciplinary Authority........... 35-26 § 35:3.3 Procedural Requirements .................................... 35-27 § 35:3.4 FINRA Disciplinary Jurisdiction and Typical Grounds for Its Proceedings ................... 35-28 [A] Disciplinary Jurisdiction ..................................... 35-28 [B] Disciplinable Acts and Omissions...................... 35-28 § 35:3.5 FINRA Investigations.......................................... 35-29 [A] Pre-Investigation Stage........................................ 35-30 [B] FINRA Investigation Procedures......................... 35-30 [B][1] In General........................................................ 35-30 [B][2] Simultaneous Investigations of the Same Matter .................................................... 35-32 [B][3] Confidentiality................................................. 35-32 [B][4] Representation by Counsel .............................. 35-33 [B][5] Duty to Cooperate ........................................... 35-33 [B][6] Table of Contents SEC and FINRA Incentives for Cooperation ..................................................... 35-35 [B][7] Document Production ..................................... 35-36 [B][8] Privileged Documents ...................................... 35-38 [B][9] Witness Statements ......................................... 35-38 [B][10] Interviews and Testimony................................ 35-39 [C] Conclusion of the Investigation.......................... 35-39 § 35:4 Resolving a Disciplinary Matter ................................. 35-40 § 35:4.1 Informal Disciplinary Actions ............................ 35-40 § 35:4.2 Minor Rule Violation Plans ................................ 35-40 § 35:4.3 Filing the Equivalent of a “Wells Submission”.... 35-40 § 35:4.4 Settlement Procedures......................................... 35-41 [A] AWC Letter......................................................... 35-42 [B] Offer of Settlement ............................................. 35-42 § 35:4.5 Contested Hearings............................................. 35-44 [A] The Complaint and Answer ............................... 35-44 [B] Prehearing Procedures......................................... 35-46 (Broker-Dealer Reg., Rel. #3, 5/13) cxiii

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