Broker Dealer Regulation (Vol. 15 & 15A, Securities Law Series)

David A Lipton

Binder/Looseleaf

Last Updated: 12/4/2009

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Description

Gain insight into broker-dealers’ duties, prohibitions, disclosure requirements, financial and record retention responsibilities, sanctions for performance failures, and client/broker dispute resolution forums. In addition to functions, this treatise discusses broker-dealer liability, the definition of an underwriter, state (blue sky) law, self-regulatory organization rules, and the basics of registration.

Features

A timely survey of an increasingly complex and sensitive subject
Detailed description of the broker-dealer registration process
Discussion of state blue sky laws
Extensive tables and index

Summary Of Contents

Chapter
1. Broker-Dealer Registration: Coverage
  1. In General (ss 1:1 to 1:3)
  2. Who Must Register (ss 1:4 to 1:30)
  3. Intrastate Exemption from Registration (s 1:31)
  4. Registration of Foreign Broker-Dealers (ss 1:32 to 1:40)
  5. Brokers Exempted from Registration (ss 1:41 to 1:43)
  6. Broker-Dealer Registration and Definition of a Security (ss 1:44 to 1:48.5)
  7. Exempted and Other "Excluded" Securities Affecting Broker-Dealer Registration (ss 1:49 to 1:55)
  8. Banks and Broker Registration (ss 1:56 to 1:63)
  9. Municipal Securities Brokers and Dealers (ss 1:64 to 1:67)
  10. Regulation of Government Securities Dealers (ss 1:68 to 1:72)
  11. Broker-Dealer Derivatives (ss 1:73 to 1:77)
2. Broker-Dealer Registration Process
  1. Application Procedure (ss 2:1 to 2:5)
  2. Application Form (Form Bd), Accompanying Financial Statement, and Consent to Service of Process (ss 2:6 to 2:8.5)
  3. Withdrawal of Registration (ss 2:9 to 2:15)
  4. Registration of Successors and Amendments to Registration (ss 2:16 to 2:18)
  5. Matters Incidental to Registration (ss 2:19 to 2:26)
  6. Consequences of Unlawful Nonregistration (ss 2:27 to 2:31)
  7. Government Securities Brokers and Dealers: Registration and Notification Process (ss 2:32 to 2:37)
  8. Government Securities Brokers and Dealers: Regulation Other Than Registration (ss 2:38, 2:39)
    Appendices
3. Regulation of Brokers Under the Securities Act of 1933
1. A. Use of Electronic Media by Broker-Dealers for Delivery of Information (ss 3A:1 to 3A:5)
2. B. Information Dissemination and Review of Disclosure Document Obligations in Connection with Offerings of Municipal Securities
  1. Background to and Basic Operation of Current Broker-Dealer Information Dissemination and Review Obligations (s 3B:1)
  2. Operation of Rule 15c2-12 [17 C.F.R. § 240.15c2-12] (ss 3B:2 to 3B:15)
  3. Duties of Underwriters and Dealers of Municipal Securities Arising Under Case Law and Administrative Action (ss 3B:16 to 3B:20)
3. Selected Issues in Securities Industry Arbitration
  1. Significance of Arbitration (ss 4:1 to 4:5)
  2. Basis of Arbitrators' Decisions (ss 4:6 to 4:15)
  3. The Arbitration Process (ss 4:16 to 4:18)
  4. Study of Inefficient Use of Arbitration (ss 4:19, 4:20)
4. Broker Breaches of Fiduciary Duties and Related Acts of Fraud
  1. Misrepresentation or Shingle Theory (ss 5:1 to 5:9)
  2. Fiduciary Theory (s 5:10)
  3. Breach of Shingle Theory Obligations as an Act of Fraud (ss 5:11 to 5:15)
  4. Churning (ss 5:16 to 5:28)
  5. Telemarketing Abuses: Nasd Rules (s 5:29)
  6. Online Suitability: Nasd Rules (ss 5:30 to 5:32)

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