federal_register: 2013-18734

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2013-18734 Financial Responsibility Rules for Broker-Dealers Rule The Securities and Exchange Commission ("Commission") is adopting amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers promulgated under the Securities Exchange Act of 1934 ("Exchange Act"). These amendments are designed to address several areas of concern regarding the financial responsibility requirements for broker-dealers. The amendments also update certain financial responsibility requirements and make certain technical amendments. 2013-08-21 2013 8 https://www.federalregister.gov/documents/2013/08/21/2013-18734/financial-responsibility-rules-for-broker-dealers https://www.govinfo.gov/content/pkg/FR-2013-08-21/pdf/2013-18734.pdf Securities and Exchange Commission 466 The Securities and Exchange Commission ("Commission") is adopting amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers promulgated under the Securities Exchange Act of 1934 ("Exchange Act")....  

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