federal_register: 2012-11133

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2012-11133 Amendments to Financial Responsibility Rules for Broker-Dealers Proposed Rule The Securities and Exchange Commission ("Commission") is reopening the comment period for proposed amendments to its net capital, customer protection, books and records, and notification rules for broker-dealers under the Securities Exchange Act of 1934 ("Exchange Act"), which was issued by the Commission on March 9, 2007. The original comment period for the proposed amendments closed on May 18, 2007, and the Commission extended the public comment period until June 18, 2007. The Commission did not act on the rules at that time. The Commission is presently reconsidering the proposed rule amendments. Given the passage of time since the amendments were proposed, the Commission is reopening for 30 days the time period in which to provide the Commission with comments. 2012-05-09 2012 5 https://www.federalregister.gov/documents/2012/05/09/2012-11133/amendments-to-financial-responsibility-rules-for-broker-dealers https://www.govinfo.gov/content/pkg/FR-2012-05-09/pdf/2012-11133.pdf Securities and Exchange Commission 466 The Securities and Exchange Commission ("Commission") is reopening the comment period for proposed amendments to its net capital, customer protection, books and records, and notification rules for broker-dealers under the Securities Exchange Act of...  

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