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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 39:2.6 The Boundaries of Broker-Dealer Regulation...... 39-46 [A] Engaged in the Business ..................................... 39-47 [B] Effecting Broker Transactions or Buying and Selling for Dealer’s Own Account ...................... 39-48 [C] Municipal Securities ........................................... 39-51 § 39:2.7 Can a State or Political Subdivision Issuer, Its Officials and Employees Be Inadvertent Broker-Dealers? ................................................... 39-58 § 39:3 The Self-Regulatory Concept: Coordinating MSRB and SEC Jurisdiction .................................................. 39-62 § 39:3.1 Rules of General SEC Jurisdiction ...................... 39-66 § 39:3.2 Rules of Overlapping Jurisdiction ....................... 39-66 [A] Recordkeeping Rules ........................................... 39-66 [B] Churning ............................................................ 39-71 [C] Disclosure of Material Information .................... 39-72 [D] Suitable Recommendations................................. 39-75 § 39:3.3 Distinguishing Statutory Limitations on MSRB and SEC Rules That Directly or Indirectly Affect Issuers ...................................... 39-77 § 39:4 Manipulation of Municipal Securities Prices.............. 39-86 § 39:4.1 Bona Fide Public Offering at the Public Offering Price ...................................................... 39-88 [A] The Oversubscribed Deal.................................... 39-88 [B] The Undersubscribed Deal ................................. 39-92 § 39:4.2 Trading During a Distribution: Stabilization ...... 39-101 § 39:4.3 Market Making in Municipal Securities ........... 39-107 § 39:4.4 Application of Antitrust Rules .......................... 39-115 [A] Rules of the Self-Regulatory Organizations....... 39-115 [B] Broker-Dealer Conduct ..................................... 39-120 § 39:5 MSRB Uniform Practice Rules.................................. 39-122 § 39:5.1 Rule G-11, Syndicate Practices During the Underwriting Period ................................... 39-122 [A] Priority Provisions............................................. 39-125 [B] Priority of Customer Orders ............................. 39-128 § 39:5.2 Rule G-12, Clearing Agency Settlement ........... 39-129 § 39:5.3 Rule G-13, Price Quotations............................. 39-134 § 39:5.4 Rule G-14, Transaction Reporting: Price Transparency..................................................... 39-138 [A] TRACE: Corporate Bond Transparency ............ 39-139 [B] RTRS: Municipal Bond Transparency ............... 39-141 § 39:5.5 Rule G-15 Customer Confirmations ................ 39-144 [A] Minimum Denominations ............................... 39-147 [B] Forwarding Official Communications .............. 39-148 [C] Riskless Principal Transactions......................... 39-149 cxxvi

§ 39:5.6 Rule G-34 CUSIP Numbers and New Issue Requirements .....................................................39-153 [A] Amendments to Support Real-Time Transaction Reporting.......................39-154 [B] Application for Depository Eligibility ................39-158 § 39:5.7 Municipal Fund Securities and Uniform Practice Rules......................................39-159 § 39:6 MSRB Fair Practice Rules ..........................................39-161 § 39:6.1 Rule G-17, Fair Dealing.....................................39-161 [A] Analytics of Rule G-17 ......................................39-161 [B] Rule G-17 As a Time-of-Trade Disclosure Rule....................................................................39-164 [C] Institutional and Retail Investors ......................39-166 [D] Underwriter Rule G-17 Obligations to Issuers................................................................39-168 § 39:6.2 Rule G-18, Execution of Transactions ...............39-170 [A] Broker’s Broker ..................................................39-172 [B] Transaction Chains............................................39-173 § 39:6.3 Rule G-19, Suitability ........................................39-173 § 39:6.4 Rule G-23, Activities of Financial Advisors .............................................................39-176 § 39:6.5 Rule G-30, Prices and Commissions .................39-178 [A] Contemporaneous Cost As the Prevailing Market Price ......................................................39-181 [B] Determining Whether a Wholesale Purchase or Sale Is Contemporaneous..............................39-181 [C] Shifting to Standards Other Than [D] Table of Contents Contemporaneous Cost .....................................39-182 Evaluating the Size of the Markup or Markdown; Riskless Principal Transactions ......39-187 [E] Diligence in Establishing Market Value .............39-189 § 39:6.6 Rule G-32 New Issue Disclosure of Underwriting Arrangements ..............................39-192 [A] Disclosure of Underwriter Compensation .........39-193 [B] Securities Not Reoffered.....................................39-195 § 39:6.7 Municipal Fund Securities and Fair Practice Rules ..................................................................39-196 § 39:7 MSRB Rule G-32, Document Dissemination Rules.....39-200 § 39:8 Supervision Rules.......................................................39-200 § 39:8.1 Defining a Supervisor ........................................39-202 § 39:8.2 The Requisites of Supervision............................39-205 § 39:8.3 Rule G-27, Policies and Procedures ...................39-207 § 39:8.4 Rule G-27, Review of Written and Electronic Correspondence .................................................39-208 § 39:9 MSRB Market Integrity Rules....................................39-210 § 39:9.1 Overlapping Jurisdiction ....................................39-210 (Broker-Dealer Reg., Rel. #3, 5/13) cxxvii

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