| Fundamentals of Broker-Dealer Regulation 2012 TOC |
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| Chapter 1: What Is a Broker-Dealer? |
Robert L.D. Colby ~ Chief Legal Officer, FINRA
Lanny A Schwartz ~ Davis Polk
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| Chapter 2: State Registration of Broker-Dealers |
G. Philip Rutledge ~ Bybel Rutledge LLP
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| Chapter 3: U.S. Securities and Exchange Commission, Division of Trading and Markets: Guide to Broker-Dealer Registration |
Clifford E. Kirsch ~ Sutherland
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| Chapter 4: The Customer Relationship |
Susan S. Krawczyk ~ Sutherland
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| Chapter 5: Redefining the Retail Relationship: The Emerging Regulatory Framework Governing Suitability, the Standard of Care and Disclosure |
Clifford E. Kirsch ~ Sutherland
Issa J. Hanna ~ Sutherland Asbill & Brennan LLP
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| Chapter 6: Broker-Dealer Supervision |
Clifford E. Kirsch ~ Sutherland
Issa J. Hanna ~ Sutherland Asbill & Brennan LLP
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| Chapter 7: PwC Financial Services Regulatory Practice: How We Can Help Broker-Dealers |
A. Duer Meehan ~ Financial Services Regulatory Practice, PricewaterhouseCoopers
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| Chapter 8: PwC FS Regulatory Brief: SEC Issues Exemptions from the Large Trader Reporting Rule |
A. Duer Meehan ~ Financial Services Regulatory Practice, PricewaterhouseCoopers
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| Chapter 9: PwC FS Regulatory Brief: The SEC's New Large Trader Reporting Requirements Place New Regulatory Obligations on Both Asset Managers and Broker-Dealers |
A. Duer Meehan ~ Financial Services Regulatory Practice, PricewaterhouseCoopers
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| Chapter 10: PwC FS Regulatory Brief: New SEC Rule 15c3-5 Bans Unfiltered Market Access, Creates New CEO Certification, Risk Management, Supervisory and Compliance, and Operational Obligations for Broker-Dealers |
A. Duer Meehan ~ Financial Services Regulatory Practice, PricewaterhouseCoopers
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| Chapter 11: Navigating Risk in the High-Frequency Trading Environment |
A. Duer Meehan ~ Financial Services Regulatory Practice, PricewaterhouseCoopers
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| Chapter 12: Regulation of Broker-Dealers: Summary Overview & Selected Recent Developments |
P. Georgia Bullitt ~ Morgan, Lewis & Bockius LLP
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| Chapter 13: Broker-Dealer Regulation: Record Keeping |
John R. Hewitt ~ McCarter & English, LLP
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| Chapter 14: SEC and FINRA Examination Programs |
John R. Hewitt ~ McCarter & English, LLP
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| Chapter 15: Overview of the Broker-Dealer Financial Responsibility Rules (PowerPoint Slides) |
Christopher M. Salter ~ Allen & Overy LLP
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| Chapter 16: Index to Fundamentals of Broker-Dealer Regulation 2012 |
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