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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 39:9.2 Rule G-37, Political Contributions ................... 39-212 [A] Persons Affected by the Rule............................. 39-213 [B] Political Contributions to Officials of Issuers .... 39-220 [C] The Prohibition ................................................ 39-221 [D] Solicitation of Contributions ............................ 39-222 [E] Controlling Persons and Indirect Contributions ................................................... 39-223 § 39:9.3 Recordkeeping and MSRB Disclosure ............... 39-224 § 39:9.4 Constitutional Issues ........................................ 39-224 [A] Are Rules of the MSRB Subject to Constitutional Limitations?.............................. 39-225 [B] The Blount First Amendment Decision ........... 39-227 § 39:9.5 Rule G-20, Gifts and Gratuities ....................... 39-231 § 39:9.6 Rule G-38, Consultants .................................... 39-232 § 39:9.7 Municipal Fund Securities and Market Integrity Rules ...................................... 39-234 § 39:10 Conflicts of Interest.................................................. 39-237 § 39:10.1 Chinese Wall Procedures................................... 39-238 [A] Firm Policies and Procedures............................ 39-238 [B] Crossing the Wall.............................................. 39-241 [C] The Sales and Trading Side As a Reservoir of Knowledge for the Advisory Side ...................... 39-242 § 39:10.2 Official Statement Disclosure of Conflicts ....... 39-244 [A] WorldCom Inc. Securities Litigation and SEC Enforcement Actions ........................................ 39-244 [B] Limitations on MSRB Authority....................... 39-247 § 39:10.3 Research Analysts and Conflicts....................... 39-248 [A] Characteristics of Municipal Securities Research............................................................ 39-248 [B] The Global Research Analyst Settlement and New Firewalls ................................................... 39-251 [C] The Sarbanes-Oxley Act: NYSE and NASD Rules on Research Analyst Conflicts..... 39-254 [D] SEC Regulation AC........................................... 39-257 [E] TBMA Guiding Principles ................................ 39-259 ` Chapter 40 Municipal Advisor Regulation Robert A. Fippinger § 40:1 The Reach of Dodd-Frank Act Jurisdiction over Municipal Advisors....................................................... 40-2 § 40:2 Key Statutory Terms and SEC Interpretation ............... 40-3 § 40:2.1 Municipal Advisors and Municipal Advisory Activities ................................................ 40-3 cxxviii

§ 40:2.2 Municipal Entity and Obligated Person................ 40-7 § 40:2.3 Municipal Financial Products ............................... 40-9 [A] Municipal Derivatives........................................... 40-9 [B] Guaranteed Investment Contracts...................... 40-10 [C] Investment Strategies.......................................... 40-11 § 40:2.4 Exclusions from the Definition of Municipal Advisor................................................................ 40-13 [A] Broker, Dealer, or Municipal Securities Dealer Serving As an Underwriter...................... 40-13 [A][1] MSRB Rule G-23 ............................................. 40-14 [A][2] Differentiating Underwriters from Financial Advisors; Union County, Iowa v. Piper Jaffray & Co............................................ 40-14 [B] Investment Advisers Registered Under the Advisers Act........................................................ 40-18 [C] Commodity Trading Advisors ............................. 40-19 [D] Attorneys, Engineers, and Other [E] Professionals ....................................................... 40-20 Municipal Entities and Employees of Municipal Entities .............................................. 40-22 § 40:3 Registration of Municipal Advisors............................. 40-23 § 40:3.1 Registration with the SEC .................................. 40-23 [A] Form MA ............................................................ 40-24 [B] Form MA-I.......................................................... 40-25 § 40:3.2 Registration with MSRB ..................................... 40-26 § 40:4 The Fiduciary Duty of Municipal Advisors to Their Municipal Entity Clients .................................. 40-27 § 40:4.1 Dodd-Frank Act Standard ................................... 40-27 § 40:4.2 The Dodd-Frank Act Delegation of Authority to the MSRB; Draft Rule G-36 and Draft Interpretive Guidance ......................................... 40-29 § 40:5 The Fair Dealing Obligation of Municipal Advisors ...................................................................... 40-30 § 40:5.1 Rule G-17 ........................................................... 40-30 § 40:5.2 Draft Interpretive Notice on the Application of Rule G-17 to Municipal Advisors ................... 40-31 [A] Table of Contents Municipal Advisors Providing Advice to Obligated Persons ............................................... 40-31 [B] Solicitors of Municipal Entities .......................... 40-32 § 40:6 The Proposed Municipal Advisor Pay-to-Play Rules ........................................................................... 40-33 § 40:6.1 Political Contributions........................................ 40-33 [A] Gifts and Gratuities............................................ 40-33 (Broker-Dealer Reg., Rel. #3, 5/13) cxxix

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