Comments on Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 2
B: 3
C: 5

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a October 17, 2023 meeting with representatives of Raymond James & Associates, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a October 6, 2023 conference call with representatives of the Deutsche Bank Securities, Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 2, 2023 conference call with representatives of UBS
Public Comment Cory
Public Comment Akash Chand
Public Comment Andrew Hartnett, President and Deputy Commissioner, Iowa Insurance Division, North American Securities Administrators Association
Public Comment Christopher A. Iacovella, President and CEO, American Securities Association
Public Comment Erik Soderberg, Head of Regulatory Affairs, Americas, Deutsche Bank Securities, Inc.
Public Comment Josephine Wang, President and CEO, Securities Investor Protection Corporation
Public Comment Kevin A. Zambrowicz, Deputy General Counsel (Institutional) & Managing Director, SIFMA
Public Comment Marshall Ollia, Chief Financial Officer, Raymond James & Associates, Inc.
Public Comment Michael
Public Comment Stephen W. Hall, Legal Director and Securities Specialist, Better Markets, Inc.
Public Comment Anonymous
Public Comment Brad D, Technology Consultant
Public Comment Clint Madden, Investor
Public Comment David
Public Comment Duke Watson
Public Comment Roger A.
Public Comment Zach Tucker
Public Comment David Grove
Public Comment Deago Gates
Public Comment J.R. Rothwell
Public Comment John W Maple
Public Comment Joseph
Public Comment Lance Jacobson, Retail Investor
Public Comment Remmingon Perrault
Public Comment Susan T.
Public Comment Thomas Sager
Public Comment Ben

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-11-23
Release Number
34-97877
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