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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

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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