Introduction

The Regulatory Framework

Regulatory Structure of the Securities Industry

Federal Securities Laws

State Securities Laws

Other Regulations

The Role of the Self Regulatory Organizations (SROs)

Federal Securities Laws

Section 9: Prohibition Against Manipulation of Security Prices

Section 10: Regulation Of The Use Of Manipulative And Deceptive Devices

Reg. §240.10b-1

Reg. §240.10b-3

Reg. §240.10b-5

Regulation M

Reg. §240.10b-9

Private Placements

Banks and the Private Placement Market

SEC Rules 144 and 144A

Rules Of The SROs

Business Conduct

Gifts And Gratuities

Control Relationships

Deceptive Practices

Books And Records

Supervision

Public Communication

Private Securities Transactions

Outside Business Activities

Continuing Education

Registration Issues

Documentation Required

Disqualifications

When to Amend a Form U-4

Termination and the Form U-5

Licensing Requirements

Regulatory Issues Quiz