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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

Timetable:

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: www.sec.gov/rules/proposed/34-54575.pdf
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 Email: attarm@sec.gov