August 19, 2013

SEC Adopts Changes to Broker-Dealer Net Capital and Financial Responsibility Rules

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ジャンプリンクテキスト

 
The US Securities and Exchange Commission recently adopted important changes to the financial responsibility rules for securities broker-dealers, including changes to the regulatory capital and regulatory reporting rules. The new rules include important regulatory capital changes in relation to acting as agent in securities lending, assumption of broker dealer expenses, and important new recordkeeping and reporting rules relating to compliance with risk mitigation and financial responsibility.

View full memo, "SEC Adopts Changes to Broker-Dealer Net Capital and Financial Responsibility Rules"

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Charles Gittleman

オブ・カウンセル

金融機関助言・金融規制

+1 212 848 7317

+1 212 848 7317

ニューヨーク