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SEC | RIN: 3235-AJ72 | Publication ID: Fall 2008 |
Title: Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers Also Registered as Futures Commission Merchants | |
Abstract: The Commission proposed amendments to conform provisions of its net capital rule to changes to the net capital rule of the Commodity Futures Trading Commission (CFTC). The proposed amendments would apply to broker-dealers also registered as futures commission merchants with the CFTC. The SEC also proposed to amend certain rules related to subordinated debt agreements to conform those rules to the CFTC's amended net capital rules. Finally, the SEC proposed to amend its early warning provisions to require that it be notified if a broker-dealer also registered as a future commission merchant must warn the CFTC or a designated self-regulatory organization that its adjusted net capital has fallen below specified levels | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 240.15c3-1 17 CFR 240.15c3-1d 17 CFR 240.17a-11 | |
Legal Authority: 15 USC 78o 15 USC 78q 15 USC 78w(a) |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2006/34-54575.pdf | |
RIN Data Printed in the FR: No | |
Related RINs: Related to 3038-AB64 | |
Agency Contact: Bonnie L. Gauch Division of Trading and Markets Securities and Exchange Commission Division of Market Regulation, 100 F Street NE, Washington, DC 20549 Phone:202 551-5524 Fax:202 772-9273 |