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Fundamentals of Broker-Dealer Regulation 2019
Clifford E. Kirsch
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. David W. Blass and Meredith J. Abrams, Broker-Dealer Status and Registration (May 13, 2019)
Chapter 2. State Registration of Broker-Dealers
Chapter 3. An Overview of the Broker-Dealer Regulatory Framework (May 13, 2019)
Chapter 4. An Overview of the Broker-Dealer Regulatory Framework (May 13, 2019) (PowerPoint slides)
Chapter 5. Securities Exchange Act of 1934 Framework
Chapter 6. Federal Framework: The Securities Exchange Act of 1934 (PowerPoint slides)
Chapter 7. The FINRA Framework
Chapter 8. U.S. Securities and Exchange Commission, Framework for “Investment Contract” Analysis of Digital Assets (April 3, 2019)
Chapter 9. U.S. Securities and Exchange Commission, Division of Corporation Finance, Division of Investment Management, and Division of Trading and Markets, Statement on Digital Asset Securities Issuance and Trading (November 16, 2018)
Chapter 10. U.S. Securities and Exchange Commission, Division of Enforcement, and Division of Trading and Markets, Statement on Potentially Unlawful Online Platforms for Trading Digital Assets (March 7, 2018)
Chapter 11. Financial Industry Regulatory Authority (FINRA) Regulator Notice 18-20, Digital Assets: FINRA Encourages Firms to Notify FINRA If They Engage in Activities Related to Digital Assets (July 6, 2018)
Chapter 12. Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, In the Matter of Zachary Coburn, Release No. 84553 (November 8, 2018)
Chapter 13. Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, In the Matter of Tokenlot, LLC, Lenny Kugel, and Eli L. Lewitt, Release Nos. 10543, 84075 and 33221 (September 11, 2018)
Chapter 14. State Standard of Care Proposals
Chapter 15. NASAA Letter to Diana J. Foley, Securities Consultant, Nevada Securities Division, Re: Notice of Draft Regulations and Request for Comment (March 7, 2019)
Chapter 16. Nevada Office of the Secretary of State, Securities Division, Notice of Draft Regulations and Request for Comment (January 18, 2019)
Chapter 17. New Jersey Division of Consumer Affairs, Bureau of Securities, Rule Proposal, 51 N.J.R. 493(a), Fiduciary Duty of Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives (April 15, 2019)
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