Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION
§ 36:2.7 Settlement Considerations.................................. 36-78
§ 36:2.8 Impact of Dodd-Frank ........................................ 36-80
[A] Expanding the Scope and Definition of
Secondary Liability .................................................36-80
[B] Civil Penalties in Cease-and-Desist
Proceedings ......................................................... 36-81
[C] Collateral Bars .................................................... 36-81
[D] Extraterritorial Jurisdiction ................................. 36-82
[E] Deadline for Completing Examinations,
Inspections and Enforcement Actions ................ 36-82
[F] Antifraud Provisions ........................................... 36-82
Appendix 36A Formal Order............................................ App. 36A-1
Appendix 36B Hold Order ............................................... App. 36B-1
Appendix 36C Privilege Log .............................................App. 36C-1
Appendix 36D FINRA Clawback Agreement
Template...................................................App. 36D-1
Appendix 36E FOIA Confidential Treatment
Request..................................................... App. 36E-1
Appendix 36F Conflicts Letter..........................................App. 36F-1
Appendix 36G FINRA Witness Questionnaire.................App. 36G-1
Appendix 36H SEC Background Questionnaire ...............App. 36H-1
Appendix 36I Wells Submission Guidelines .................... App. 36I-1
Chapter 37 State Broker-Dealer Record-Keeping,
Examinations and Enforcement
Jeffrey O. Himstreet
§ 37:1 Introduction.................................................................. 37-2
§ 37:2 State Record-Keeping Requirements ............................. 37-2
§ 37:2.1 Background Leading to Uniform Federal and
State Record-Keeping Requirements...................... 37-2
§ 37:2.2 The Uniform Record-Keeping Standard—
Amendments to Securities Exchange Act
Rules 17a-3 and 17a-4 .......................................... 37-5
§ 37:3 The State Broker-Dealer Examination Program............ 37-6
§ 37:3.1 Exam Focus........................................................... 37-7
§ 37:3.2 Top Compliance Deficiencies and
Recommended Best Practices................................ 37-8
§ 37:3.3 What Happens if a Problem Is
Discovered? ......................................................... 37-10
§ 37:4 State Enforcement Authority Over
Broker-Dealers and Agents ......................................... 37-10
cxvi