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SEC RIN: 3235-AL50 Publication ID: Spring 2019 
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