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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

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

Table of Contents § 37:4.1 Broker-Dealers Subject to State Enforcement Authority ....................................... 37-11 § 37:4.2 Grounds for Initiating Enforcement Actions ...... 37-11 § 37:4.3 Principal Considerations for Regulatory Actions................................................................ 37-12 § 37:4.4 General Remedies Available................................ 37-14 Appendix 37A NASAA Statement of Policy..................... App. 37A-1 Chapter 37A Collateral Consequences for Broker-Dealers and Associated Persons Christopher M. Salter § 37A:1 What Are Collateral Consequences?...........................37A-2 § 37A:2 When to Conduct a Collateral Consequences Review.........................................................................37A-4 § 37A:2.1 Settlements or Other Adverse Actions .............37A-4 § 37A:2.2 Transactions, Significant Investments or Joint Ventures Involving a Broker-Dealer .........37A-4 § 37A:3 Collateral Consequences, Remediation & Reporting Obligations .................................................37A-4 § 37A:3.1 Automatic Disqualifications .............................37A-4 [A] “Statutory Disqualification” Under Section 3(a)(39) of the Exchange Act.................37A-5 [A][1] Impact of “Statutory Disqualification” ............37A-6 [A][2] Continuance Applications ...............................37A-7 [A][3] Reporting Obligations ......................................37A-8 [B] Disqualification Under Section 9(a) of the Investment Company Act ...........................37A-8 [B][1] Impact of Section 9(a) Disqualification ...........37A-8 [B][2] Section 9(c) Exemption Applications ...............37A-9 [B][3] Reporting Obligations ....................................37A-10 [C] Disqualification from Securities Registration Exemptions......................................................37A-10 [C][1] Regulation A Exemptions ..............................37A-10 [C][2] Regulation D Rule 505 Exemption ................37A-11 [C][3] Regulation E Exemptions...............................37A-12 [C][4] Applying for Relief and/or Waivers.................37A-13 [D] Eligibility for Safe Harbors for Forward-Looking Statements ...........................37A-14 [D][1] Section 21E of the Exchange Act & Section 27A of the Securities Act ..................37A-14 [D][2] Applying for Waivers......................................37A-15 [E] Eligibility for Streamlined Offering Process .....37A-15 [E][1] Rule 405 of the Securities Act .......................37A-16 (Broker-Dealer Reg., Rel. #3, 5/13) cxvii

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