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SEC RIN: 3235-AJ72 Publication ID: 2012 
Title: Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers Also Registered as Futures Commission Merchants 
Abstract: The SEC 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 futures 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: Proposed 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
Action Date FR Cite
NPRM  10/13/2006  71 FR 60636   
NPRM Comment Period End  11/23/2006    
Second NPRM  05/00/2013 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Related RINs: Related to 3038-AB64  Related Agencies: Joint: CFTC; 
Agency Contact:
Mark Attar
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5889

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