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| SEC | RIN: 3235-AJ85 | Publication ID: Fall 2011 |
| Title: Amendments to Financial Responsibility Rules for Broker-Dealers | |
| Abstract: The Commission proposed amendments 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 240.15c3-3a; 17 CFR 240.17a-3; 17 CFR 240.17a-4; 17 CFR 240.17a-11 | |
| Legal Authority: 15 USC 78o; 15 USC 78q; 15 USC 78w; 15 USC 78mm | |
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Legal Deadline:
None |
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Timetable:
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| Regulatory Flexibility Analysis Required: Undetermined | Government Levels Affected: Undetermined |
| Federalism: No | |
| Included in the Regulatory Plan: No | |
| RIN Information URL: www.sec.gov/rules/proposed/2007/34-55431.pdf | |
| RIN Data Printed in the FR: No | |
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Agency Contact: Raymond Lombardo Division of Trading and Markets Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-5755 Email: lombardor@sec.gov |
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