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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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Table of Contents VOLUME 1 About th
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[A] Generally .....................
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Table of Contents Chapter 3 Brokers
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Table of Contents Chapter 5 Broker-
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Table of Contents § 5A:6.2 Exempti
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Table of Contents [E] Damages .....
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Table of Contents § 6:7.5 Qualific
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§ 8:3.5 Training..................
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§ 10:5 Harmonizing the Broker-Deal
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Table of Contents § 12:2.7 Use of
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§ 13:2 Establishment and Maintenan
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§ 13:4.2 Firm-Initiated Transfers
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[B][2] Disclosures Applicable to Mu
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Table of Contents [C][2] Financial
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§ 15:2.3 MSRB Rules ..............
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[D][3] SEC v. Materia: Misappropria
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§ 17:4 SRO Research Rules.........
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§ 17:6 Global Research Analyst Set
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§ 18:5.2 Definition of Exchange ..
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§ 18:7.2 Exchange Act Rule 15c3-5
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[D] Price Improvement .............
Page 43 and 44: Table of Contents § 20:5.2 The Dut
Page 45 and 46: Table of Contents [D] Introducing B
Page 47 and 48: § 25:3 Understanding the Arrangeme
Page 49 and 50: Table of Contents § 25:17.31 Anti-
Page 51 and 52: Table of Contents § 27:7.1 Disclos
Page 53 and 54: Table of Contents § 28:2.4 Fraudul
Page 55 and 56: [C] Risk Management for Banks......
Page 57 and 58: Table of Contents Chapter 31A SEC a
Page 59 and 60: PART X: Compliance, Examinations, a
Page 61 and 62: Table of Contents § 33:3.8 Where R
Page 63 and 64: [B] Administrative Proceedings.....
Page 65 and 66: § 36:2.2 To What Extent Should the
Page 67 and 68: Table of Contents § 37:4.1 Broker-
Page 69 and 70: Table of Contents § 37B:2.3 Arbitr
Page 71 and 72: § 37C:3.2 Institutional Investment
Page 73 and 74: Table of Contents § 37D:3 Treasury
Page 75 and 76: Table of Contents § 38:6.4 Educati
Page 77 and 78: § 39:5.6 Rule G-34 CUSIP Numbers a
Page 79 and 80: § 40:2.2 Municipal Entity and Obli
Page 81 and 82: Table of Contents [E] Communication
Page 83 and 84: § 42:4.3 Exclusive Benefit Rule...
Page 85 and 86: Table of Contents [C] Underwriting
Page 87 and 88: Table of Contents [D] Implications
Page 89 and 90: § 42C:3.2 Consequences of Breachin
Page 91 and 92: Table of Contents § 42D:3.3 Applic
Page 93: § 42E:6 Considerations in Connecti
Page 97 and 98: § 44:4 FINRA Rule 5121 (Public Off
Page 99 and 100: § 44:9.3 Procedures Required by Ru
Page 101 and 102: [B][3] Stabilizing When the Princip
Page 103 and 104: Chapter 46 U.S. Securities Activiti
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