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Table of Contents - Practising Law Institute

Table of Contents - Practising Law Institute

BROKER-DEALER REGULATION

BROKER-DEALER REGULATION § 42E:14 Industry Best Practices.............................................. 42E-56 § 42E:14.1 Counterparty Risk Management Group ......... 42E-56 § 42E:14.2 Joint Associations Principles .......................... 42E-58 § 42E:15 Useful Reminders ..................................................... 42E-58 Appendix 42E-A Requirements for Sale of Structured Products .............................................App. 42E-A-1 Chapter 42F Regulation of Mutual Fund Sales Practices Joseph P. Savage § 42F:1 Introduction................................................................ 42F-2 § 42F:2 Broker-Dealer Suitability Obligations ......................... 42F-3 § 42F:2.1 FINRA Suitability Obligations.......................... 42F-3 [A] NASD Rule 2310............................................... 42F-3 [B] FINRA Rule 2111 .............................................. 42F-4 [C] Recommendations to Customers....................... 42F-5 [D] Components of Suitability Obligations ............. 42F-6 [E] Customer’s Investment Profile.......................... 42F-7 [F] Institutional Investors ....................................... 42F-8 § 42F:2.2 Know-Your-Customer Obligations .................... 42F-9 § 42F:2.3 Suitability Obligations Under the Federal Securities Laws ............................................... 42F-10 § 42F:2.4 Disclosure Obligations ................................... 42F-12 § 42F:2.5 Switching Violations....................................... 42F-13 § 42F:2.6 Breakpoint Violations ..................................... 42F-15 [A] Sales Just Below Breakpoints ........................... 42F-15 [B] Delivery of the Correct Breakpoint Discount .......................................................... 42F-16 § 42F:2.7 Multi-Class Mutual Funds ............................. 42F-19 § 42F:2.8 Online Suitability Issues ................................ 42F-22 § 42F:2.9 Bond Funds..................................................... 42F-24 § 42F:2.10 Inverse and Leveraged ETFs ........................... 42F-25 § 42F:3 Cash and Non-Cash Compensation......................... 42F-26 § 42F:3.1 Cash Compensation ....................................... 42F-26 [A] FINRA Regulation of Cash Compensation...... 42F-26 [B] SEC Regulation of Revenue Sharing ................ 42F-29 [C] Directed Brokerage Arrangements ................... 42F-30 § 42F:3.2 Non-Cash Compensation............................... 42F-32 [A] Gifts and Entertainment.................................. 42F-33 [B] Training or Education Meetings ...................... 42F-34 [C] Sales Contests.................................................. 42F-36 § 42F:3.3 Record-Keeping Requirements ........................ 42F-37 § 42F:4 Bank Broker-Dealer Sales of Mutual Funds .............. 42F-38 § 42F:5 Social Media Websites .............................................. 42F-39 cxliv

PART XVI: Special Topics Table of Contents Chapter 43 Arbitration of a Securities Customer Dispute Before FINRA—A Primer on the Practice Frank J. Cuccio, David J. Butler & Logan S. Fisher § 43:1 Overview....................................................................... 43-2 § 43:2 Arbitration in the Securities Industry........................... 43-4 § 43:2.1 Brief History ......................................................... 43-4 § 43:2.2 Getting to Arbitration........................................... 43-4 § 43:2.3 FINRA’s Role in Arbitration.................................. 43-6 § 43:3 Practice in FINRA Arbitration ...................................... 43-7 § 43:4 Commencement of the Arbitration .............................. 43-8 § 43:4.1 Generally............................................................... 43-8 § 43:4.2 Venue .................................................................... 43-8 § 43:5 Pleadings in Arbitration.............................................. 43-10 § 43:5.1 Statement of Claim ............................................ 43-10 § 43:5.2 Answer................................................................ 43-12 § 43:6 Arbitrator Selection Process........................................ 43-13 § 43:6.1 Generally............................................................. 43-13 § 43:6.2 Number of Arbitrators ........................................ 43-14 § 43:6.3 Ranking of Potential Arbitrators ......................... 43-15 § 43:6.4 Optional All Public Panel for Customer Cases Under Rule 12403(d) ................................ 43-16 § 43:6.5 Disqualification of Arbitrators ............................ 43-17 § 43:7 Initial Pre-Hearing Conference ................................... 43-17 § 43:8 Motion Practice in FINRA Arbitrations...................... 43-19 § 43:8.1 Generally............................................................. 43-19 § 43:8.2 Dispositive Motion Practice................................ 43-20 § 43:8.3 Eligibility for Arbitration..................................... 43-21 § 43:9 Discovery Process ....................................................... 43-22 § 43:9.1 Generally............................................................. 43-22 § 43:9.2 FINRA’s Discovery Guide and Compulsory Discovery Production.......................................... 43-23 § 43:9.3 Supplemental Discovery ..................................... 43-25 § 43:9.4 Other Discovery Devices..................................... 43-26 § 43:9.5 Discovery Motions.............................................. 43-26 § 43:9.6 Third-Party Discovery......................................... 43-27 § 43:10 Pre-Hearing Exchange................................................. 43-28 § 43:11 The Hearing ............................................................... 43-29 § 43:11.1 Generally............................................................. 43-29 § 43:11.2 Conduct of the Hearing ...................................... 43-30 § 43:12 The Award.................................................................. 43-32 § 43:12.1 Generally............................................................. 43-32 (Broker-Dealer Reg., Rel. #3, 5/13) cxlv

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