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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION [E][2] Applying for Waivers...................................... 37A-16 [F] Receipt of Investment Adviser Solicitation Fees Under Advisers Act Rule 206(4)-3 ........... 37A-17 § 37A:3.2 Permissive Action by the SEC ........................ 37A-19 § 37A:3.3 Collateral Consequences & State Regulatory Regimes .......................................................... 37A-20 § 37A:3.4 Collateral Consequences & Regulated Affiliates ......................................................... 37A-21 § 37A:3.5 Dual Registrants ............................................. 37A-22 § 37A:3.6 Transactions, Significant Investments or Joint Ventures Involving a Broker-Dealer ....... 37A-23 [A] Due Diligence.................................................. 37A-24 [B] Organizational Structure, Business Activities & Transaction Documents .............. 37A-24 [C] Reporting Obligations...................................... 37A-24 [C][1] Form BD........................................................ 37A-24 [C][2] Rule 1017 Continuing Membership Applications & Rule 1014 Presumption ........ 37A-25 § 37A:4 Reporting & Notification Requirements ................... 37A-25 § 37A:4.1 Form BD......................................................... 37A-25 § 37A:4.2 Forms U4 and U5 .......................................... 37A-26 § 37A:4.3 FINRA Rule 4530 ........................................... 37A-27 § 37A:4.4 Schedule 13D Filing ....................................... 37A-27 § 37A:4.5 Form N1-A ..................................................... 37A-28 PART XI: Regulatory Reporting Requirements Chapter 37B Regulatory Reporting Requirements Seth T. Taube § 37B:1 Introduction and Brief Overview of the FINRA Rulebook ..................................................................... 37B-2 § 37B:2 Forms U4 and U5 ...................................................... 37B-3 § 37B:2.1 Mechanics of Filing .......................................... 37B-5 § 37B:2.2 Customer Complaints ...................................... 37B-6 [A] Defined Terms ................................................... 37B-7 [A][1] Reporting of Customer Complaints on Form U5 .......................................................... 37B-9 [B] Customer Complaints Involving $5,000 or More .................................................................. 37B-9 [C] Settlements of Customer Complaints ............. 37B-10 [D] Oral Complaints.............................................. 37B-11 [E] Forgery, Theft, Misappropriation or Conversion ...................................................... 37B-11 [F] Withdrawn Complaints ................................... 37B-12 cxviii

Table of Contents § 37B:2.3 Arbitration/Civil Litigation Disclosure ...........37B-12 [A] Awards and Decisions .....................................37B-14 [B] Withdrawn Claims and Settlements................37B-15 [C] Expunging of Customer Dispute Information .....................................................37B-15 § 37B:2.4 Criminal Disclosure .......................................37B-17 [A] What Is Required to Be Reported with Regard to Criminal Disclosure?.......................37B-18 [B] What Is Not Required to Be Reported with Regard to Criminal Disclosure?.......................37B-19 § 37B:2.5 Regulatory Action and Investigation Disclosure.......................................................37B-19 § 37B:2.6 Form U4: Civil Judicial Disclosure ................37B-21 § 37B:2.7 Termination Disclosure ..................................37B-21 § 37B:2.8 Financial Disclosure .......................................37B-23 § 37B:2.9 Form U5: Internal Review Disclosure ............37B-23 § 37B:2.10 Deficiencies in Filing......................................37B-23 § 37B:2.11 Signature Requirements..................................37B-25 § 37B:2.12 Privilege for Potentially Defamatory Employer Statements in Form U5..................37B-25 § 37B:3 Member SRO Regulatory Filings Under FINRA Rule 4530 .....................................................37B-26 § 37B:3.1 Reporting of Rule Violations...........................37B-27 [A] Findings by External Bodies.............................37B-27 [B] Internal Conclusions .......................................37B-28 § 37B:3.2 Reporting Customer Complaints....................37B-30 § 37B:3.3 Reporting of Regulatory Actions .....................37B-31 § 37B:3.4 Reporting of Criminal Actions .......................37B-32 § 37B:3.5 Reporting of Litigation, Arbitration, and Certain Claims for Damages...................37B-32 § 37B:3.6 Reporting of Internal Disciplinary Action by the Member Firm ......................................37B-34 § 37B:3.7 Failure to Timely File Disclosures..................37B-34 § 37B:4 Conclusion ...............................................................37B-35 Appendix 37B-A Form U4: Uniform Applications for Securities Industry Registration or Transfer ..............................................App. 37B-A-1 Appendix 37B-B Form U5: Uniform Termination Notice for Securities Industry Regulation .......................................... App. 37B-B-1 Appendix 37B-C NASD Guidance on Forms U4 and U5 ..................................................... App. 37B-C-1 Appendix 37B-D Problem and Product Codes for Reporting Rule 351(d) Complaints.... App. 37B-D-1 (Broker-Dealer Reg., Rel. #3, 5/13) cxix

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