View Rule
View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
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:
|
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 |