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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION VOLUME 3 Table of Chapters ............................................................................vii PART XII: The Municipal Marketplace Chapter 38 Designing a Political Law Compliance Program for Broker-Dealers and Advisers Steven S. Lucas § 38:1 Introduction to Political Law Compliance.................... 38-2 § 38:1.1 Political Law and Why Broker-Dealers Should Care ...................................................................... 38-2 § 38:1.2 Political Law and Its Implications for Broker-Dealers....................................................... 38-4 § 38:2 Lobby Laws and How They May Apply to Broker-Dealers and Advisers ......................................... 38-5 § 38:2.1 Is Your Employee a Lobbyist Under the Law? ...... 38-5 § 38:3 Gift and Ethics Laws and How They May Apply to Broker-Dealers and Advisers ......................................... 38-6 § 38:3.1 Be Careful When Providing Anything of Value to a Public Official ...................................... 38-6 § 38:3.2 Ethics Regulations Also Include Various Conflict of Interest Rules...................................... 38-6 § 38:4 Campaign Laws and How They May Apply to Broker-Dealers and Advisers ......................................... 38-7 § 38:4.1 Campaign Finance: No Two Laws Are the Same ............................................................... 38-7 § 38:4.2 Monitor Employee Reimbursement Requests ....... 38-8 § 38:5 The Special Case of “Pay-To-Play” ............................... 38-8 § 38:5.1 Who Do Pay-to-Play Laws Affect?......................... 38-9 § 38:5.2 Where Do Pay-to-Play Laws Exist? ....................... 38-9 § 38:5.3 Why Do Pay-to-Play Laws Exist? ........................ 38-10 § 38:5.4 Types of Pay-to-Play Rules .................................. 38-10 § 38:5.5 Scope of Pay-to-Play Laws................................... 38-11 § 38:6 Developing a Political Law Compliance Program: Tips and Recommendations ....................................... 38-12 § 38:6.1 Adopt a Company-Wide Political Law Compliance Policy .............................................. 38-12 § 38:6.2 Identifying the Stakeholders ............................... 38-12 § 38:6.3 Creating Systems for Compliance ...................... 38-13 cxxiv

Table of Contents § 38:6.4 Education and Training....................................... 38-13 § 38:6.5 Designate Internal Management and Responsibility...................................................... 38-13 Chapter 39 Broker-Dealer Regulation of Municipal Activity Robert A. Fippinger § 39:1 Municipal Securities Broker-Dealer Regulation ............ 39-4 § 39:1.1 What Is the Basic Broker-Dealer Obligation to Investors?.......................................................... 39-4 [A] Special Relationships That Lead to a [B] Fiduciary Duty ...................................................... 39-7 Principal-to-Principal Transactions in Municipal Securities......................................... 39-9 § 39:1.2 Obligations of Broker-Dealers to Persons Other Than Investors ......................................... 39-11 § 39:1.3 The Beginning of Municipal Broker-Dealer Regulation: 1975 Amendments to the 1934 Act................................................... 39-12 § 39:1.4 Self-Regulation in the Over-the-Counter Markets............................................................... 39-16 [A] FINRA................................................................. 39-18 [B] MSRB.................................................................. 39-19 [C] Dodd-Frank Act Expansion of MSRB Jurisdiction ......................................................... 39-21 [D] Clearing Agencies ............................................... 39-22 § 39:1.5 MSRB Jurisdictional Definitions......................... 39-23 [A] Rule G-1, Municipal Securities Dealer, and Bank Dealer ................................................. 39-23 [B] Broker, Dealer, Municipal Securities Dealer, and Municipal Advisor ....................................... 39-25 [C] Rule D-11, Associated Person............................. 39-26 [D] Rule D-12, Municipal Fund Security .................. 39-28 § 39:2 Registration and Qualification Rules .......................... 39-29 § 39:2.1 Registration of Municipal Broker-Dealer Firms with the SEC....................................................... 39-29 § 39:2.2 Rule G-1, Broker-Dealer Registration Requirements for Bank Dealers .......................... 39-32 § 39:2.3 Registration of Brokers, Dealers, and Municipal Securities Dealers with the MSRB....... 39-39 § 39:2.4 Field Inspections of Firms and Banks................. 39-39 § 39:2.5 Rule G-3, Municipal Securities Representatives and Principals ............................. 39-41 (Broker-Dealer Reg., Rel. #3, 5/13) cxxv

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