Views
3 years ago

Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION Chapter 40A Pay-to-Play Rules Kenneth A. Gross, Ki P. Hong, Lawrence M. Noble & Patricia M. Zweibel § 40A:1 What Are Pay-to-Play Rules? ......................................40A-3 § 40A:2 Basic Features of Pay-to-Play Laws .............................40A-4 § 40A:3 Municipal Securities and the MSRB...........................40A-5 § 40A:4 MSRB Rule G-37 ........................................................40A-6 § 40A:4.1 Restrictions and Reporting Requirements Under Rule G-37..............................................40A-6 § 40A:5 Terms Defined Under the Rule...................................40A-7 § 40A:5.1 Which Government Officials Are Covered Under This Rule?.............................................40A-7 § 40A:5.2 What Does “Municipal Securities Business” Mean? ..............................................................40A-8 § 40A:5.3 What Is a “Contribution”? ...............................40A-9 § 40A:5.4 What Is an “MFP”? ..........................................40A-9 [A] Newly Hired or Qualified MFPs: Retroactivity of MFP Status ................................................40A-10 [B] Former MFPs: Retention of MFP Status ........40A-11 § 40A:6 Treatment of MFP Contributions .............................40A-11 § 40A:6.1 Contribution Checks from Joint Bank Account ..........................................................40A-11 § 40A:6.2 Volunteer Work ..............................................40A-12 § 40A:6.3 Contributions to National, State, or Local Political Parties .....................................40A-12 § 40A:6.4 Attendance at Fundraisers..............................40A-14 § 40A:7 Exemption from the Ban ..........................................40A-14 § 40A:7.1 Automatic Exemption ....................................40A-14 § 40A:7.2 Discretionary Exemption ...............................40A-14 § 40A:8 Reporting Requirements ...........................................40A-15 § 40A:8.1 Who Is Required to Report? ...........................40A-15 § 40A:8.2 When Are the Reports Due? ..........................40A-15 § 40A:8.3 What Must Be Reported? ...............................40A-16 [A] [B] Reporting of Contributions ............................40A-16 Reporting of Municipal Securities Business .........................................................40A-16 § 40A:9 MSRB Rule G-38 ......................................................40A-16 § 40A:9.1 Communications with Issuers That Are Not Solicitations....................................................40A-17 [A] [B] [C] [D] Incidental Communications with Issuer........40A-17 Limited Promotional Communications .........40A-18 Post-Selection Communications ....................40A-18 Communications Incidental to Providing Recognized Professional Services....................40A-18 cxxx

Table of Contents [E] Communications with Private Obligor in a Conduit Issuance ...........................................40A-19 § 40A:10 MSRB Rule G-20 ......................................................40A-19 § 40A:10.1 Exemptions from MSRB Rule G-20 ...............40A-19 § 40A:11 Enforcement of MSRB Rules G-37, G-38, and G-20 ..................................................................40A-20 § 40A:12 Changes to MSRB Rule G-37 ...................................40A-20 § 40A:12.1 Contributions to Bond Ballot Campaign Committees....................................................40A-20 § 40A:12.2 Affiliated Bank PACs......................................40A-21 § 40A:13 SEC Pay-to-Play Rule Applicable to Investment Advisers ....................................................................40A-22 § 40A:13.1 Who Is Covered? ............................................40A-22 § 40A:13.2 What Is a “Covered Associate”? .....................40A-23 § 40A:13.3 What Is the Extent of the Ban?......................40A-24 § 40A:13.4 Who Are Covered Officials? ...........................40A-24 § 40A:13.5 What Are Covered Investment Pools?............40A-24 § 40A:13.6 Ban on Indirect Contributions .......................40A-25 § 40A:13.7 Record-Keeping Requirement .........................40A-26 § 40A:13.8 Exemptions ....................................................40A-27 § 40A:13.9 Placement Agent Ban .....................................40A-27 § 40A:13.10 Effective Dates .................................................40A-28 § 40A:14 CFTC Pay-to-Play Rule for Swaps ............................40A-29 § 40A:14.1 What Type of Business Is Covered? ...............40A-29 § 40A:14.2 Prohibition on Political Contributions...........40A-30 § 40A:14.3 Definitions and Additional Provisions ...........40A-30 § 40A:14.4 Exemptions ....................................................40A-31 § 40A:14.5 Indirect Violations..........................................40A-32 § 40A:15 Proposed SEC Rule for Swaps...................................40A-32 § 40A:15.1 Differences Between the Proposed SEC Rule and the Proposed CFTC Pay-to-Play Rule......40A-32 § 40A:15.2 What Type of Business Is Covered? ...............40A-33 § 40A:15.3 Prohibitions on Political Contributions .........40A-33 § 40A:15.4 Definitions and Additional Provisions ...........40A-33 § 40A:15.5 Exemptions ....................................................40A-34 § 40A:15.6 Additional Prohibitions Under the Rule.........40A-35 § 40A:15.7 Indirect Violations..........................................40A-35 § 40A:15.8 Record-Keeping...............................................40A-35 § 40A:16 MSRB Proposed Rule G-42.......................................40A-36 § 40A:16.1 What Type of Business Is Covered? ...............40A-36 § 40A:16.2 Prohibitions on Political Contributions .........40A-37 § 40A:16.3 Covered Contributions...................................40A-37 § 40A:16.4 Covered Officials ............................................40A-37 § 40A:16.5 Definition of Municipal Advisory Professional (MAP).........................................40A-38 (Broker-Dealer Reg., Rel. #3, 5/13) cxxxi

Coverage List - Practising Law Institute
Help Menu - Discover PLUS - Practising Law Institute
PLI's Patent Bar - Practising Law Institute
Practising Law Institute - Seyfarth Shaw LLP
Practising Law Institute 14th Annual Real Estate Tax Forum UPREIT ...
Practising Law Institute's Understanding Insurance ... - Reed Smith
Table of Contents - TradeMotion.com
Table of contents - Johns Hopkins Medical Institutions
Table Of Contents - International Institute for Building Biology ...
table of contents - Active Lifestyle Institute Mountain Home
table of contents - Department of the Treasury
Front Cover & Table of Contents - Washburn University School of Law
TABLE OF CONTENTS - Securities Commission of the Bahamas
First Chapter, Preface and Table of Contents - Point Institute
Practising Law Institute CLE Program Current ... - Reed Smith
Table of Contents - Health Professions Regulatory Advisory Council
table of contents - SUNY Institute of Technology
Table of contents - Food Marketing Institute
Securities Law and Capital Markets - Stikeman Elliott
Table of Contents
Preface, Overview and Table of Contents - Oak Ridge Institute for ...
Table of Contents - The Center for International Environmental Law
table of contents - P8ntbox