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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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Table of Contents VOLUME 1 About th
Page 3 and 4:
[A] Generally .....................
Page 5 and 6:
Table of Contents Chapter 3 Brokers
Page 7 and 8:
Table of Contents Chapter 5 Broker-
Page 9 and 10:
Table of Contents § 5A:6.2 Exempti
Page 11 and 12:
Table of Contents [E] Damages .....
Page 13 and 14:
Table of Contents § 6:7.5 Qualific
Page 15 and 16: § 8:3.5 Training..................
Page 17 and 18: § 10:5 Harmonizing the Broker-Deal
Page 19 and 20: Table of Contents § 12:2.7 Use of
Page 21 and 22: § 13:2 Establishment and Maintenan
Page 23 and 24: § 13:4.2 Firm-Initiated Transfers
Page 25 and 26: [B][2] Disclosures Applicable to Mu
Page 27 and 28: Table of Contents [C][2] Financial
Page 29 and 30: § 15:2.3 MSRB Rules ..............
Page 31 and 32: [D][3] SEC v. Materia: Misappropria
Page 33 and 34: § 17:4 SRO Research Rules.........
Page 35 and 36: § 17:6 Global Research Analyst Set
Page 37 and 38: § 18:5.2 Definition of Exchange ..
Page 39 and 40: § 18:7.2 Exchange Act Rule 15c3-5
Page 41 and 42: [D] Price Improvement .............
Page 43 and 44: Table of Contents § 20:5.2 The Dut
Page 45 and 46: Table of Contents [D] Introducing B
Page 47 and 48: § 25:3 Understanding the Arrangeme
Page 49 and 50: Table of Contents § 25:17.31 Anti-
Page 51 and 52: Table of Contents § 27:7.1 Disclos
Page 53 and 54: Table of Contents § 28:2.4 Fraudul
Page 55 and 56: [C] Risk Management for Banks......
Page 57 and 58: Table of Contents Chapter 31A SEC a
Page 59 and 60: PART X: Compliance, Examinations, a
Page 61 and 62: Table of Contents § 33:3.8 Where R
Page 63 and 64: [B] Administrative Proceedings.....
Page 65: § 36:2.2 To What Extent Should the
Page 69 and 70: Table of Contents § 37B:2.3 Arbitr
Page 71 and 72: § 37C:3.2 Institutional Investment
Page 73 and 74: Table of Contents § 37D:3 Treasury
Page 75 and 76: Table of Contents § 38:6.4 Educati
Page 77 and 78: § 39:5.6 Rule G-34 CUSIP Numbers a
Page 79 and 80: § 40:2.2 Municipal Entity and Obli
Page 81 and 82: Table of Contents [E] Communication
Page 83 and 84: § 42:4.3 Exclusive Benefit Rule...
Page 85 and 86: Table of Contents [C] Underwriting
Page 87 and 88: Table of Contents [D] Implications
Page 89 and 90: § 42C:3.2 Consequences of Breachin
Page 91 and 92: Table of Contents § 42D:3.3 Applic
Page 93 and 94: § 42E:6 Considerations in Connecti
Page 95 and 96: PART XVI: Special Topics Table of C
Page 97 and 98: § 44:4 FINRA Rule 5121 (Public Off
Page 99 and 100: § 44:9.3 Procedures Required by Ru
Page 101 and 102: [B][3] Stabilizing When the Princip
Page 103 and 104: Chapter 46 U.S. Securities Activiti
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