3235-AN28 202410 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule

The Division is considering recommending that the Commission adopt amendments to the broker-dealer customer protection rule.  The Commission proposed to amend the broker-dealer customer protection rule to require certain broker-dealers to perform their customer and broker-dealer reserve computations and make any required deposits into their reserve bank accounts daily rather than weekly. The Commission also sought comment on whether similar daily reserve computation requirements should apply to broker-dealers and security-based swap dealers with respect to their security-based swap customers.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 240.15c3-3 15 U.S.C. 78o No NPRM 07/18/2023 88 FR 45836 NPRM Comment Period End 09/11/2023 Final Action 12/00/2024 No None No No No Sheila Swartz Division of Trading and Markets 3235 Securities and Exchange Commission SEC 202 551-5545 swartzs@sec.gov 100 F Street NE, Washington DC 20549