SECURITIES AND OTHER FINANCIAL PRODUCTS FINANCIAL PRODUCT FUNDAMENTALS
• LAW • BUSINESS
• COMPLIANCE
Edited by Clifford E . Kirsch ( Eversheds Sutherland ( US ) LLP )
BROKER-DEALER REGULATION Edited by Clifford E . Kirsch ( Eversheds Sutherland ( US ) LLP )
This treatise offers a practical look into the varied regulations governing broker-dealers . Integrating more than 30 years of the editor ’ s experience , the book explores registration reporting , recordkeeping , sustainability , best execution , compliance programs and documentation , insider trading , risk management control , and FINRA suitability . Practitioners , leaders , and broker-dealers can also access 53 forms covering due diligence , compliance checklists , FINRA forms , and summary prospectus disclosures .
Stay current with new broker-dealer regulations through PLI ’ s Upkeep Service .
4 looseleaf volumes , 6,234 pages , $ 702 , Item # 32789 , ISBN 978-1-4024-1689-7 , Updated annually or as needed
CONTENTS
VOLUME 1 PART I : INTRODUCTION , BROKER-DEALER STATUS AND REGISTRATION Chapters 1 – 5B
PART II : SUPERVISORY REQUIREMENTS Chapters 6 – 9
PART III : THE CUSTOMER RELATIONSHIP Chapters 10 – 13
PART IV : COMPENSATION PRACTICES Chapters 14 – 15
PART V : REGULATION OF INFORMATION Chapters 16 – 17
VOLUME 2 PART VI : TRADING PRACTICES Chapters 18 – 21B
PART VII : FINANCIAL RESPONSIBILITY Chapters 22 – 23
PART VIII : CLEARING ACTIVITIES Chapters 24 – 25
PART IX : OTHER REQUIREMENTS
Chapters 26 – 31
PART X : COMPLIANCE , EXAMINATIONS , AND ENFORCEMENT Chapters 32 – 37A
PART XI : REGULATORY REPORTING REQUIREMENTS Chapters 37B – 37D
VOLUME 3
PART XII : THE MUNICIPAL MARKETPLACE
Chapters 37E – 40A
PART XIII : RETIREMENT MARKETPLACE Chapters 41 – 42A
PART XIV : BROKER-DEALER CROSS-BORDER ACTIVITIES Chapters 42B – 42E
PART XV : SPECIAL PRODUCT SALES Chapters 42F – 42H
VOLUME 4 PART XVI : SPECIAL TOPICS Chapters 43 – 54
Table of Authorities Index
This resource offers a comprehensive dive into the regulatory , pricing , marketing , and viability issues surrounding registered offerings . The book ’ s editor , a preeminent securities practitioner and Practising Law Institute faculty member , offers over 30 years of insights into the legal fundamentals underlying private placements , real estate investment trusts , hedge and exchange-traded funds , and other registered offering types .
Attorneys and other professionals who offer or regulate financial products can turn to supplemental materials addressing pointers around Forms F-1 and 20-F , policy closing items , IPO timelines , and more . This compendium also addresses the Dodd-Frank Act , SEC actions , foreign broker-dealers , advertising in connection with prospectuses , insurance-linked securities , and life settlements .
PLI ’ s Upkeep Service helps readers stay on top of regulatory updates pertaining to registered offerings .
2 looseleaf volumes , 1,980 pages , $ 702 , Item # 38880 , ISBN 978-1-4024-1898-3 , Updated annually or as needed
CONTENTS
VOLUME 1 1 Going Public : A Guide to U . S . IPOs for Founders , Officers , Directors , and Other Market Participants
2 Limited Offerings and Private Placements
2A Alternative Capital Raising for Public Companies 3 International Securities
Offerings 4 Securitization ( Asset-Backed Securities and Structured Financing ) 5 Raising Equity Capital Through
5A
Regulation Crowdfunding Special Purpose Acquisition Companies 5B Sustainable Finance 6 Mutual Funds 7 Closed-End Investment
Companies 8 Unit Investment Trusts 9 Money Market Funds 10 Managed Advisory Accounts &
Wrap Fee Programs 11 Hedge Funds 12 International Investment Funds 13 Commodity Pools 14 Real Estate Investment Trusts
VOLUME 2
15 Private Equity Funds : Structural and Operational Legal Considerations
16 An Overview of the Formation and Operation of Exchange- Traded Products 17 Exchange-Traded Funds 18 College Savings Plans 19 A Primer on Derivative
Contracts and Their Regulation 20 An Introduction to Variable Insurance Products
21 Organization of Private Investment Funds : Basic Structural and Legal Issues
22 Real Estate Mortgage
Investment Conduits ( REMICs ) 23 [ Reserved ] 24 Exchange-Traded Notes and Similar Structured Notes 25 Insurance-Linked Securities 26 Introduction to Life Settlements 27 Interval Funds 28 [ Reserved ] 29 Blockchain Law : The Regulation of Digital Assets in the Capital Markets 30 Opportunity Zone Funds 31 Business Development
Companies 32 ESG-Themed Investment
Funds
Table of Authorities Index
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