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BROKER-DEALER REGULATION Chapter 37C SEC Reporting Requirements Under Section 13 of the Exchange Act Kevin Campion & Katie Klaben § 37C:1 Introduction............................................................... 37C-2 § 37C:2 Section 13(d)—Beneficial Ownership Reporting Requirements............................................................. 37C-3 § 37C:2.1 Overview of Beneficial Ownership Reporting Pursuant to Section 13(d) ............... 37C-3 [A] Equity Securities ............................................... 37C-3 [B] Definition of “Beneficial Owner” ..................... 37C-4 [C] Aggregation and Disaggregation of Beneficial Ownership ........................................................ 37C-5 [C][1] Parent-Subsidiary ............................................ 37C-5 [C][2] Broker-Customer............................................. 37C-6 [D] Calculation of Beneficial Ownership ................ 37C-7 [E] Group Status .................................................... 37C-7 § 37C:2.2 Section 13(d) Reporting Obligations................ 37C-9 [A] Schedule 13D ................................................... 37C-9 [A][1] Overview......................................................... 37C-9 [A][2] Filing Deadlines............................................ 37C-10 [B] Schedule 13G ................................................. 37C-12 [B][1] Overview....................................................... 37C-12 [B][2] Qualified Institutional Investors................... 37C-12 [B][2][a] Overview .................................................... 37C-12 [B][2][b] Filing Deadlines ......................................... 37C-14 [B][2][c] Loss of Eligibility to File on Schedule 13G ............................................. 37C-14 [B][3] Passive Investors That Own Less Than 20% of the Security....................................... 37C-15 [B][3][a] Overview .................................................... 37C-15 [B][3][b] Filing Deadlines ......................................... 37C-15 [B][3][c] Loss of Eligibility to File on Schedule 13G ............................................. 37C-15 [B][4] Exempt Investors .......................................... 37C-16 [B][4][a] Overview .................................................... 37C-16 [B][4][b] Filing Deadlines ......................................... 37C-16 [B][4][c] Loss of Eligibility to File on Schedule 13G ............................................. 37C-16 [C] Control Purpose or Effect ............................... 37C-17 § 37C:3 Section 13(f)—Reports by Institutional Investment Managers .............................................. 37C-19 § 37C:3.1 Overview of Section 13(f) Reporting Requirements................................................. 37C-19 cxx
§ 37C:3.2 Institutional Investment Managers ............... 37C-20 § 37C:3.3 Section 13(f) Securities .................................. 37C-20 § 37C:3.4 Possession of Investment Discretion............. 37C-20 § 37C:3.5 Filing Deadlines............................................. 37C-22 § 37C:4 Section 13(h)—Large Trader Reporting .................... 37C-22 § 37C:4.1 Overview of Section 13(f) Reporting Requirements................................................. 37C-22 § 37C:4.2 Large Traders ................................................. 37C-23 [A] Focus on Parent/Control Entities.................... 37C-24 [B] Identifying Activity Level................................ 37C-25 [C] Voluntary Registration .................................... 37C-26 § 37C:4.3 Form 13H...................................................... 37C-26 [A] Overview......................................................... 37C-26 [B] Form 13H Filing Types................................... 37C-27 [C] Table of Contents What Information Is Required on Form 13H? ..................................................... 37C-28 § 37C:4.4 What Are the Requirements for Broker-Dealers?.............................................. 37C-29 [A] Record-Keeping Requirements ........................ 37C-29 [B] Reporting Requirements ................................. 37C-30 [C] Monitoring Requirements............................... 37C-30 [D] Compliance Deadlines.................................... 37C-31 § 37C:4.5 Confidentiality............................................... 37C-31 Chapter 37D Broker-Dealer Treasury and Related Reporting Requirements Matthew B. Comstock & Andrew D. Beresin § 37D:1 Introduction............................................................... 37D-3 § 37D:2 TIC Forms................................................................. 37D-5 § 37D:2.1 Form SLT......................................................... 37D-5 [A] Reporting Entities ............................................. 37D-5 [B] Reporting Threshold and Types of Instruments Reported ....................................... 37D-6 [C] Exclusions......................................................... 37D-7 [C][1] Direct Investment........................................... 37D-7 [D] Custodians........................................................ 37D-7 [E] Disclosures ....................................................... 37D-8 [F] Examples .......................................................... 37D-9 [F][1] Example 1....................................................... 37D-9 [F][2] Example 2....................................................... 37D-9 [F][3] Example 3....................................................... 37D-9 [F][4] Example 4..................................................... 37D-10 [F][5] Example 5..................................................... 37D-10 (Broker-Dealer Reg., Rel. #3, 5/13) cxxi
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Table of Contents VOLUME 1 About th
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[A] Generally .....................
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Table of Contents Chapter 3 Brokers
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Table of Contents Chapter 5 Broker-
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Table of Contents § 5A:6.2 Exempti
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Table of Contents [E] Damages .....
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Table of Contents § 6:7.5 Qualific
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§ 8:3.5 Training..................
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§ 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 and 66: § 36:2.2 To What Extent Should the
Page 67 and 68: Table of Contents § 37:4.1 Broker-
Page 69: Table of Contents § 37B:2.3 Arbitr
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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