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SEC | RIN: 3235-AJ85 | Publication ID: Fall 2008 |
Title: Amendments to Financial Responsibility Rules for Broker and Dealers | |
Abstract: The Commission proposed an amendment to financial responsibility rules to address several emerging areas of concern regarding broker-dealer net capital, customer protection, books and records, and notification requirements. In addition, the amendments would update these rules and make certain technical changes. | |
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 240.15c3-1a 17 CFR 240,15c3-2 17 CFR 240.15c3-3 17 CFR 15c3-3a 17 CFR 240.17a-3 17 CFR 240.17a-4 17 CFR 240.17a-11 (To search for a specific CFR, visit the Code of Federal Regulations.) | |
Legal Authority: 15 USC 78o 15 USC 78q 15 USC 78w 15 USC 78mm |
Legal Deadline:
None |
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Timetable:
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Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
Included in the Regulatory Plan: No | |
RIN Data Printed in the FR: No | |
Related RINs: Duplicate of 3235-AJ48 | |
Agency Contact: Randall Roy Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5522 Email: royr@sec.gov |