Views
3 years ago

Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION [C] The Hearing........................................................ 35-48 [D] Post-Hearing Submissions .................................. 35-49 [E] Prohibition of Ex Parte Contacts ........................ 35-49 [F] Written Decision and Sanctions ......................... 35-49 § 35:5 Sanctions .................................................................... 35-50 § 35:5.1 In General........................................................... 35-50 § 35:5.2 Censure............................................................... 35-50 § 35:5.3 Monetary Sanctions ............................................ 35-50 [A] Fine..................................................................... 35-50 [B] Disgorgement...................................................... 35-51 [C] Restitution .......................................................... 35-51 [D] Costs................................................................... 35-51 [E] Failure to Pay Monetary Sanctions ..................... 35-51 § 35:5.4 Suspension, Expulsion, Revocation, and Bar....................................................................... 35-52 § 35:5.5 Undertakings ...................................................... 35-52 § 35:6 Review of Actions ....................................................... 35-53 § 35:6.1 National Adjudicatory Council Internal Review................................................................. 35-53 § 35:6.2 Discretionary Review by FINRA Board ............... 35-54 § 35:7 Special Procedures ...................................................... 35-55 § 35:7.1 SEC Review of FINRA Decisions........................ 35-55 § 35:7.2 Judicial Review of SEC Decisions ....................... 35-58 Chapter 36 Handling SEC/SRO Investigations Peter J. Anderson & Brian L. Rubin § 36:1 Hypothetical ................................................................. 36-3 § 36:2 Analysis ........................................................................ 36-4 § 36:2.1 Getting Started...................................................... 36-4 [A] Learning About Investigations .............................. 36-4 [A][1] Contacting the Staff........................................... 36-5 [A][2] Reviewing the SEC Enforcement Manual .......... 36-6 [A][3] Requesting the Formal Order............................. 36-7 [B] Doing an Internal Investigation............................ 36-8 [B][1] Interviewing Employees ..................................... 36-8 [B][2] Gathering Documents ..................................... 36-10 [B][3] Privilege/Work Product Concerns .................... 36-10 [C] When Is It Necessary to Disclose an Investigation?...................................................... 36-12 [C][1] Disclosure Obligations..................................... 36-12 [C][1][a] SEC Reporting Obligations............................ 36-12 [C][1][b] Other Disclosure Obligations........................ 36-13 [C][2] Voluntary Disclosure ....................................... 36-14 cxiv

§ 36:2.2 To What Extent Should the Firm Cooperate?..... 36-15 [A] SEC Issues .......................................................... 36-15 [A][1] Delaying the Investigation............................... 36-15 [A][2] Responding Completely and Accurately .......... 36-16 [A][3] Earning Credit Through Cooperation.............. 36-17 [A][3][a] Seaboard Report—A Blueprint for Cooperation .................................................. 36-17 [A][3][b] Post-Seaboard Cases: Examples of “Credit” ....36-22 [A][3][c] Determining the Extent of Cooperation ....... 36-26 [B] FINRA Issues...................................................... 36-29 [B][1] Failing to Respond ........................................... 36-30 [B][2] Objecting to the Request ................................. 36-31 [B][3] Requesting an Extension.................................. 36-33 [B][4] Über-Cooperation: How to Earn Credit........... 36-35 § 36:2.3 Document Production Issues.............................. 36-41 [A] Understanding the Stakes................................... 36-41 [B] Developing and Implementing a Plan to Identify and Produce Responsive Documents........36-41 [B][1] Analyzing and Narrowing the Scope of the Document Request .................................... 36-41 [B][2] Identifying and Preserving Responsive Documents ...................................................... 36-44 [B][3] The Peculiar Challenge of Email ..................... 36-48 [B][3][a] [B][3][a][i] Reviewing Responsive Documents for Privilege and Preparing Documents for Production..................................................... 36-51 Legal Limitations on Document Discovery ................................................... 36-52 [B][3][a][ii] Producing Responsive Documents............. 36-53 [B][3][a][iii] Requesting Confidential Treatment ........... 36-54 § 36:2.4 Testimony ........................................................... 36-57 [A] Table of Contents The Initial Meetings and Document Collection ........................................................... 36-57 [B] Attorney/Witness Preparation ............................. 36-58 [C] Counsel’s Role During Testimony ...................... 36-64 § 36:2.5 The Wells Process ............................................... 36-66 [A] When to Make a Wells Submission .................... 36-67 [B] When Not to Submit a Wells Submission .......... 36-69 [C] Type of Wells Submission ................................... 36-69 [D] Implications for Other Actions........................... 36-70 § 36:2.6 Considerations in Establishing Reserves and Making Public Disclosures in Connection with a Regulatory Investigation .......................... 36-71 [A] Establishing Reserves .......................................... 36-72 [B] Making Public Disclosures ................................. 36-75 (Broker-Dealer Reg., Rel. #3, 5/13) cxv

Coverage List - Practising Law Institute
Help Menu - Discover PLUS - Practising Law Institute
Practising Law Institute 14th Annual Real Estate Tax Forum UPREIT ...
Practising Law Institute's Understanding Insurance ... - Reed Smith
PLI's Patent Bar - Practising Law Institute
Practising Law Institute CLE Program Current ... - Reed Smith
Table of Contents
Table of Contents - The Center for International Environmental Law
Table Of Contents - International Institute for Building Biology and ...
Table of Contents - HNX
Practising Law Institute - Seyfarth Shaw LLP
Slides - Food and Drug Law Institute
table of contents this is noble - Noble Group
Table of Contents - Brevard Public Schools
Table of Contents - Upper Saucon Township
View the table of contents and read an excerpt - WorldatWork
Table Of Contents - International Institute for Building Biology and ...
From False Claims Act to FIRREA - Practising Law Institute
TABLE OF CONTENTS - Veterinary Medicines Directorate - Defra
Table of Contents - Richland College - Dallas County Community ...
TABLE OF CONTENTS - Kenora.ca
Table of Contents - D-Link
10 TABLE CONTENTS pgs I-X new.qxp - Monmouth County