| Fundamentals of Broker-Dealer Regulation 2013 Table of Contents |
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| Chapter 1: What is a Broker-Dealer? (August 1, 2012) |
Robert L.D. Colby ~ Financial Industry Regulatory Authority, Inc.
Lanny A. Schwartz ~ Davis Polk & Wardwell LLP
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| Chapter 2: Broker-Dealer Registration and Membership; Registration of Associated Person |
Clifford E. Kirsch ~ Sutherland
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| Chapter 3: U.S. Securities and Exchange Commission, Division of Trading and Markets: Guide to Broker-Dealer Registration (April 2008) |
Clifford E. Kirsch ~ Sutherland
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| Chapter 4: State Registration of Broker-Dealers |
G. Philip Rutledge ~ Bybel Rutledge LLP
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| Chapter 5: Broker-Dealer Regulatory Oversight: SEC and SROs |
Stephen Luparello ~ WilmerHale LLP
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| Chapter 6: Redefining the Retail Relationship: The Emerging Regulatory Framework Governing Suitability, the Standard of Care and Disclosure (June 24, 2013) |
Clifford E. Kirsch ~ Sutherland
Issa J. Hanna ~ Sutherland
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| Chapter 7: The Customer Relationship (April 1, 2013) |
Susan S. Krawczyk ~ Sutherland
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| Chapter 8: Practical Considerations Regarding the Establishment and Maintenance of the Broker-Dealer Supervisory Framework (June 24, 2013) |
Clifford E. Kirsch ~ Sutherland
Issa J. Hanna ~ Sutherland
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| Chapter 9: Legal/Compliance Officer Liability for Duty to Supervise |
Clifford E. Kirsch ~ Sutherland
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| Chapter 10: Practical Compliance Considerations Regarding FINRA’s Requirement to Report Internal Conclusions of Violations |
Clifford E. Kirsch ~ Sutherland
Issa J. Hanna ~ Sutherland
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| Chapter 11: Record-Keeping (August 6, 2012) |
John R. Hewitt ~ McCarter & English, LLP
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| Chapter 12: Outline for SEC and FINRA Examination Programs |
John R. Hewitt ~ McCarter & English, LLP
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| Chapter 13: Overview of the Broker-Dealer Financial Responsibility Rules (PowerPoint Slides) |
Christopher M. Salter ~ Allen & Overy LLP
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| Index to Fundamentals of Broker-Dealer Regulation 2013 |
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