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SEC RIN: 3235-AJ85 Publication ID: Spring 2013 
Title: Amendments to Financial Responsibility Rules for Broker-Dealers 
Abstract: The Commission proposed amendments to financial responsibility rules to address several 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 
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  03/19/2007  72 FR 12862 
NPRM Comment Period End  05/18/2007   
NPRM Comment Period Extended  05/23/2007  72 FR 28908 
NPRM Comment Period End Extended End  06/18/2007   
NPRM Comment Period Reopened  05/19/2012  77 FR 27180 
NPRM Comment Period Reopened End  06/27/2012   
Final Action  07/00/2013   
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 
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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