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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 42:5.5 Margin Loans and Other Extensions of Credit by Broker-Dealers..................................... 42-58 [A] Plans with Respect to Which a Broker-Dealer Is a Fiduciary ...................................................... 42-59 [B] Plans with Respect to Which a Broker-Dealer Is Not a Fiduciary But Is a Party in Interest....... 42-59 § 42:5.6 Lending of Securities by a Plan to a Broker-Dealer ...................................................... 42-60 [A] Borrower Is a U.S. Broker-Dealer or U.S. Bank............................................................ 42-61 [B] Borrower Is a Foreign Broker-Dealer or Foreign Bank....................................................... 42-64 [C] Compensation of the Lending Fiduciary............. 42-65 § 42:5.7 Purchase of Mutual Fund Shares From or Through a Broker-Dealer That Is a Principal Underwriter of the Mutual Fund; Plans with Respect to Which the Broker-Dealer Is a Non-Discretionary Fiduciary or Party in Interest................................................................ 42-67 § 42:5.8 Investment in Shares of a Registered Open-End Mutual Fund for Which a Broker-Dealer Is an Investment Adviser ............. 42-69 § 42:5.9 Alternative Relief for Sales and Loans Where Broker Is Not a Fiduciary ........................ 42-70 § 42:5.10 Alternative Execution Systems............................ 42-71 § 42:5.11 Block Trades........................................................ 42-71 § 42:5.12 Cross-Trades........................................................ 42-72 § 42:5.13 Foreign Exchange Transactions ........................... 42-73 § 42:6 Relationship Brokerage Arrangements ........................ 42-74 § 42:7 Plans Maintained for a Broker-Dealer’s Own Employees................................................................... 42-76 § 42:7.1 An Employer’s Status with Respect to Its Own Plans................................................. 42-76 § 42:7.2 Provision of Services to Its Plans Assuming It Is a Fiduciary.................................. 42-76 [A] Investment Advisory Services ............................. 42-76 [A][1] Generally ......................................................... 42-76 [A][2] Specific Exemption for Mutual Fund for Which a Broker-Dealer Is the Investment Adviser.......................................... 42-77 [A][2][a] Open-End Funds ........................................... 42-77 [A][2][b] Closed-End Funds ......................................... 42-77 [B] Broker-Dealer Services ........................................ 42-78 [B][1] Broker (Agency) Services .................................. 42-78 [B][2] Dealer (Principal) Services ............................... 42-78 cxxxiv

Table of Contents [C] Underwriting Services......................................... 42-78 [C][1] In General........................................................ 42-78 [C][2] Mutual Funds .................................................. 42-79 § 42:8 Other Transactions ..................................................... 42-79 § 42:8.1 Affiliated Brokerage............................................. 42-79 § 42:8.2 Affiliated Investment Options ............................ 42-79 § 42:8.3 Automatic Rollovers............................................ 42-80 § 42:8.4 Bank Products and Services ................................ 42-81 § 42:8.5 Blackout Periods and Mapping ........................... 42-82 § 42:8.6 Co-Investing ....................................................... 42-83 § 42:8.7 Cross-Collateralization Agreements.................... 42-83 § 42:8.8 Customer Notes of Employer ............................. 42-84 § 42:8.9 Default Investment Options ............................... 42-85 § 42:8.10 Economically Targeted Investments.................... 42-89 § 42:8.11 Gifts and Entertainment Provided to Plan Fiduciaries................................................... 42-89 § 42:8.12 Inadvertent Securities Purchase or Sale with Party in Interest .................................................. 42-90 § 42:8.13 Insurance and Annuity Products ........................ 42-91 § 42:8.14 Interest-Free Loans.............................................. 42-92 § 42:8.15 IPOs .................................................................... 42-92 § 42:8.16 Mortgage Pool Investment Trusts and Other Asset-Backed Securities ............................ 42-93 § 42:8.17 Mutual Funds ..................................................... 42-93 § 42:8.18 Participant Investment Advice ............................ 42-94 § 42:8.19 Proxy Voting........................................................ 42-98 § 42:8.20 Short-Term Investments ................................... 42-100 § 42:8.21 Soft Dollars and Directed Brokerage................. 42-100 § 42:8.22 Wrap Fee Programs ........................................... 42-101 Chapter 42A ERISA Compliance: Practical Considerations for Broker-Dealers and Advisers, and Their Representatives That Sell or Service Retirement Plans Jason C. Roberts & Kim Shaw Elliott § 42A:1 Introduction................................................................42A-2 § 42A:2 New Rules and Potential Impact ................................42A-2 § 42A:2.1 Amendments to ERISA § 408(b)(2) ..................42A-2 § 42A:2.2 ERISA § 404(a)(5) .............................................42A-3 § 42A:2.3 Impact of the New Rules..................................42A-5 § 42A:3 DOL Enforcement and ERISA Litigation....................42A-5 § 42A:4 Application of ERISA..................................................42A-7 § 42A:4.1 Fiduciary Status................................................42A-7 (Broker-Dealer Reg., Rel. #3, 5/13) cxxxv

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