The Law Library presents the complete text of the Financial Responsibility Rules for Broker-Dealers (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition).
Updated as of May 29, 2018
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.
This ebook contains:
- The complete text of the Financial Responsibility Rules for Broker-Dealers (US Securities and Exchange Commission Regulation) (SEC) (2018 Edition)
- A dynamic table of content linking to each section
- A table of contents in introduction presenting a general overview of the structure
