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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 37D:2.2 Form S........................................................... 37D-10 [A] Reporting Entities ........................................... 37D-10 [B] Reporting Threshold and Types of Instruments Reported ..................................... 37D-10 [C] Broker-Dealer Reporting Responsibilities ............................................... 37D-11 [D] Exclusions....................................................... 37D-13 [D][1] Direct Investment......................................... 37D-13 [D][2] Instruments .................................................. 37D-13 [E] Disclosures ..................................................... 37D-13 [F] Example .......................................................... 37D-14 § 37D:2.3 Form B Series ................................................ 37D-14 [A] Form BC ......................................................... 37D-14 [B] Form BL-1....................................................... 37D-15 [B][1] Examples....................................................... 37D-16 [B][2] Specific Exclusions........................................ 37D-16 [C] Form BL-2....................................................... 37D-17 [C][1] Specific Exclusions........................................ 37D-18 [D] Form BQ-1...................................................... 37D-18 [D][1] Reportable Claims ........................................ 37D-18 [D][2] Specific Exclusions........................................ 37D-18 [E] Form BQ-2...................................................... 37D-19 [F] Form BQ-3...................................................... 37D-19 § 37D:2.4 Form D.......................................................... 37D-20 [A] Exclusions....................................................... 37D-21 [B] Disclosures ..................................................... 37D-22 [C] Example .......................................................... 37D-23 § 37D:2.5 Forms SHL and SHLA................................... 37D-23 [A] Form SHL ....................................................... 37D-23 [A][1] Reporting Entities ......................................... 37D-24 [A][2] Reporting Threshold and Types of Instruments Reported ................................... 37D-25 [A][3] Exclusions..................................................... 37D-25 [B] Form SHLA..................................................... 37D-26 § 37D:2.6 Form SHC and SHCA ................................... 37D-27 [A] Form SHC ...................................................... 37D-27 [A][1] Reporting Entities ......................................... 37D-27 [A][2] Reporting Thresholds and Types of Instruments Reported ................................... 37D-27 [A][3] Exclusions..................................................... 37D-28 [A][3][a] Direct Investment ...................................... 37D-28 [A][3][b] Instruments................................................ 37D-28 [A][3][c] Disclosures................................................. 37D-28 [B] Form SHCA.................................................... 37D-29 cxxii

Table of Contents § 37D:3 Treasury Foreign Currency Forms ........................... 37D-30 § 37D:3.1 Form FC-1..................................................... 37D-30 § 37D:3.2 Form FC-2..................................................... 37D-31 § 37D:3.3 Form FC-3..................................................... 37D-32 § 37D:4 BEA Forms............................................................... 37D-32 § 37D:4.1 U.S.-International Financial Services Transactions .................................................. 37D-33 [A] Form BE-185................................................... 37D-33 [B] Form BE-180................................................... 37D-34 § 37D:4.2 U.S. Direct Investment Abroad ..................... 37D-35 [A] Form BE-577................................................... 37D-35 [B] Form BE-11..................................................... 37D-36 [B][1] BE-11 Forms ................................................. 37D-36 [B][1][a] BE-11A Form.............................................. 37D-36 [B][1][b] BE-11B Form.............................................. 37D-37 [B][1][c] BE-11C Form ............................................. 37D-37 [B][1][d] BE-11D Form ............................................. 37D-37 [B][1][e] BE-11E Form .............................................. 37D-38 [B][1][f] BE-11 Claim for Not Filing........................ 37D-38 [C] Form BE-10..................................................... 37D-38 § 37D:4.3 Foreign Direct Investment in the United States........................................... 37D-39 [A] Form BE-605................................................... 37D-39 [B] Form BE-15..................................................... 37D-40 [B][1] BE-15 Forms ................................................. 37D-41 [B][1][a] BE-15A ....................................................... 37D-41 [B][1][b] BE-15B ....................................................... 37D-41 [B][1][c] BE-15 (EZ).................................................. 37D-41 [B][1][d] BE-15 Claim for Exemption....................... 37D-42 [C] Form BE-12..................................................... 37D-42 [C][1] BE-12 Forms ................................................. 37D-42 [C][1][a] BE-12A ....................................................... 37D-42 [C][1][b] BE-12B ....................................................... 37D-42 [C][1][c] BE-12C....................................................... 37D-43 [C][1][d] BE-12 Claim for Not Filing........................ 37D-43 (Broker-Dealer Reg., Rel. #3, 5/13) cxxiii

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