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SEC RIN: 3235-AL50 Publication ID: Spring 2018 
Title: Broker-Dealer Liquidity Stress Testing, Early Warning, and Account Transfer Requirements 

The Division is considering recommending that the Commission propose: (1) an amendment to the net capital rule that would require regular liquidity stress testing and maintenance requirements, (2) an amendment to the notification rule that would add additional notification requirements pertaining to a broker-dealer’s overall financial condition; and (3) an amendment to the recordkeeping and retention requirements that would require broker-dealers to make a record documenting the process for the prompt transfer of customer accounts to another carrying broker-dealer.

Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Long-Term Actions 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: Not Yet Determined   
Legal Deadline:  None
Action Date FR Cite
Next Action Undetermined  To Be Determined 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
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