Table of Contents - Practising Law Institute
Table of Contents - Practising Law Institute
Table of Contents - Practising Law Institute
You also want an ePaper? Increase the reach of your titles
YUMPU automatically turns print PDFs into web optimized ePapers that Google loves.
§ 37C:3.2 Institutional Investment Managers ............... 37C-20<br />
§ 37C:3.3 Section 13(f) Securities .................................. 37C-20<br />
§ 37C:3.4 Possession <strong>of</strong> Investment Discretion............. 37C-20<br />
§ 37C:3.5 Filing Deadlines............................................. 37C-22<br />
§ 37C:4 Section 13(h)—Large Trader Reporting .................... 37C-22<br />
§ 37C:4.1 Overview <strong>of</strong> Section 13(f) Reporting<br />
Requirements................................................. 37C-22<br />
§ 37C:4.2 Large Traders ................................................. 37C-23<br />
[A] Focus on Parent/Control Entities.................... 37C-24<br />
[B] Identifying Activity Level................................ 37C-25<br />
[C] Voluntary Registration .................................... 37C-26<br />
§ 37C:4.3 Form 13H...................................................... 37C-26<br />
[A] Overview......................................................... 37C-26<br />
[B] Form 13H Filing Types................................... 37C-27<br />
[C]<br />
<strong>Table</strong> <strong>of</strong> <strong>Contents</strong><br />
What Information Is Required on<br />
Form 13H? ..................................................... 37C-28<br />
§ 37C:4.4 What Are the Requirements for<br />
Broker-Dealers?.............................................. 37C-29<br />
[A] Record-Keeping Requirements ........................ 37C-29<br />
[B] Reporting Requirements ................................. 37C-30<br />
[C] Monitoring Requirements............................... 37C-30<br />
[D] Compliance Deadlines.................................... 37C-31<br />
§ 37C:4.5 Confidentiality............................................... 37C-31<br />
Chapter 37D Broker-Dealer Treasury and Related Reporting<br />
Requirements<br />
Matthew B. Comstock & Andrew D. Beresin<br />
§ 37D:1 Introduction............................................................... 37D-3<br />
§ 37D:2 TIC Forms................................................................. 37D-5<br />
§ 37D:2.1 Form SLT......................................................... 37D-5<br />
[A] Reporting Entities ............................................. 37D-5<br />
[B] Reporting Threshold and Types <strong>of</strong><br />
Instruments Reported ....................................... 37D-6<br />
[C] Exclusions......................................................... 37D-7<br />
[C][1] Direct Investment........................................... 37D-7<br />
[D] Custodians........................................................ 37D-7<br />
[E] Disclosures ....................................................... 37D-8<br />
[F] Examples .......................................................... 37D-9<br />
[F][1] Example 1....................................................... 37D-9<br />
[F][2] Example 2....................................................... 37D-9<br />
[F][3] Example 3....................................................... 37D-9<br />
[F][4] Example 4..................................................... 37D-10<br />
[F][5] Example 5..................................................... 37D-10<br />
(Broker-Dealer Reg., Rel. #3, 5/13)<br />
cxxi