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SEC | RIN: 3235-AL50 | Publication ID: Fall 2019 |
Title: Broker-Dealer Liquidity Stress Testing, Early Warning, and Account Transfer Requirements | |
Abstract:
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. |
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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 |
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Timetable:
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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 Email: lombardor@sec.gov |