federal_register: E7-4693

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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
E7-4693 Amendments to Financial Responsibility Rules for Broker-Dealers Proposed Rule The Commission is proposing for comment 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"). The proposed amendments would address several emerging areas of concern regarding the financial requirements for broker-dealers. They also would update the financial responsibility rules and make certain technical amendments. 2007-03-19 2007 3 https://www.federalregister.gov/documents/2007/03/19/E7-4693/amendments-to-financial-responsibility-rules-for-broker-dealers https://www.govinfo.gov/content/pkg/FR-2007-03-19/pdf/E7-4693.pdf Securities and Exchange Commission 466 The Commission is proposing for comment 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"). The proposed amendments would address...  

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