Views
3 years ago

Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 42D:6 Foreign Corrupt Practices Act.................................. 42D-41 § 42D:7 Foreign Account Tax Compliance Act (FATCA) ...... 42D-44 PART XV: Special Product Sales Chapter 42E Structuring and Selling Structured Products Anna T. Pinedo § 42E:1 Overview..................................................................... 42E-3 § 42E:2 Structured Products Basics.......................................... 42E-4 § 42E:2.1 What Are Structured Products.......................... 42E-4 § 42E:2.2 Types of Structured Products ............................ 42E-4 § 42E:2.3 Who Issues Structured Products....................... 42E-5 § 42E:2.4 Who Buys Structured Products......................... 42E-8 § 42E:3 Regulatory Framework Applicable to Structured Products.................................................................... 42E-10 § 42E:3.1 Offering Platforms .......................................... 42E-12 § 42E:3.2 Registered Programs ....................................... 42E-12 [A] Disclosures for Registered Offerings of Structured Products ......................................... 42E-13 [B] Free-Writing Prospectuses ................................ 42E-13 § 42E:3.3 Continuous Issuance Programs ...................... 42E-14 [A] Types of MTN Programs ................................. 42E-15 [B] Disclosure Documents for MTN Programs..... 42E-16 [B][1] Offering Memorandum.................................. 42E-16 [C] Ancillary Agreements ...................................... 42E-17 [C][1] Distribution Agreement or Program Agreement ..................................................... 42E-18 [C][2] Additional Ancillary Agreements................... 42E-18 § 42E:4 Securities Liability at the Time of Sale..................... 42E-19 § 42E:5 Considerations in Connection with Section 3(a)(2) Programs........................................... 42E-20 § 42E:5.1 What Is a Bank? ............................................. 42E-21 [A] Securities Guaranteed by a Bank..................... 42E-21 [B] Non-U.S. Banks............................................... 42E-21 § 42E:5.2 Types of Securities .......................................... 42E-22 § 42E:5.3 FINRA Requirements ..................................... 42E-22 § 42E:5.4 OCC Registration ........................................... 42E-23 § 42E:5.5 FDIC Guidance .............................................. 42E-23 § 42E:5.6 Minimum Denomination and Suitability Requirements.................................................. 42E-24 § 42E:5.7 Blue Sky Laws................................................. 42E-25 § 42E:5.8 Exchange Act Reporting.................................. 42E-25 § 42E:5.9 Securities Liability .......................................... 42E-26 cxlii

§ 42E:6 Considerations in Connection with Structured Certificates of Deposit Programs .............................. 42E-26 § 42E:6.1 Types of Instruments...................................... 42E-26 § 42E:6.2 Registration Requirements.............................. 42E-28 [A] Disclosure Requirements ................................. 42E-28 § 42E:6.3 Documentation and Distribution................... 42E-29 § 42E:6.4 Blue Sky Laws................................................. 42E-30 § 42E:7 Disclosure Issues Affecting All Structured Products.................................................................... 42E-30 § 42E:7.1 Type of Product............................................... 42E-31 § 42E:7.2 Product Names ............................................... 42E-31 § 42E:7.3 Risk Disclosures ............................................. 42E-32 [A] Credit Risk ...................................................... 42E-32 [B] Secondary Market............................................ 42E-32 [C] Tax Characteristics .......................................... 42E-33 [D] Conflicts of Interest......................................... 42E-33 [E] Pay-out Structure ............................................. 42E-34 [F] Reference Assets .............................................. 42E-34 § 42E:7.4 Fees................................................................. 42E-36 § 42E:7.5 SEC Sweep Letter ........................................... 42E-36 § 42E:8 Distribution of Structured Products ......................... 42E-37 § 42E:9 Broker-Dealer Standard of Care ................................ 42E-40 § 42E:10 Developments Relating to the Sales and Marketing of Structured Products............................. 42E-41 § 42E:10.1 Notices to Members and FINRA Alerts.......... 42E-41 [A] New Products .................................................. 42E-41 [B] Structured Products ......................................... 42E-42 [C] Table of Contents Leveraged and Inverse Exchange Traded Funds ................................................... 42E-43 [D] Principal-Protected Notes ................................ 42E-43 [E] Reverse Convertible Securities......................... 42E-44 [F] Commodity Futures-Linked Securities ............ 42E-45 [G] Complex Products ........................................... 42E-46 [H] Exchange-Traded Notes.................................... 42E-47 § 42E:11 FINRA Enforcement Actions .................................... 42E-48 § 42E:11.1 H&R Block ..................................................... 42E-48 § 42E:11.2 Ferris, Baker Watts LLC.................................. 42E-49 § 42E:11.3 Santander Securities ....................................... 42E-49 § 42E:11.4 UBS Financial Services ................................... 42E-50 § 42E:11.5 Wells Fargo ..................................................... 42E-51 § 42E:12 OCIE Sweep.............................................................. 42E-53 § 42E:13 Litigation and Other Actions.................................... 42E-54 § 42E:13.1 Snowball Action ............................................. 42E-55 § 42E:13.2 Massachusetts Attorney General Action ........ 42E-55 § 42E:13.3 In re Lehman Brothers and Principal Protection ........................................ 42E-55 (Broker-Dealer Reg., Rel. #3, 5/13) cxliii

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
table of contents - College of Law
table of contents - SUNY Institute of Technology
Table of contents - Food Marketing Institute
Table of Contents - TradeMotion.com
Table Of Contents
table of contents - P8ntbox
table of contents - P8ntbox
Table of Contents - IMEX Research
table of contents - ABS Consulting
Table of Contents - Drake Software
Table of Contents
Table of Contents - Allegheny Places
table of contents - Department of the Treasury
TABLE OF CONTENTS - GANZ Ukrainian Paintball