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Comments on Proposed Rule: Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers also Registered as Futures Commission Merchants

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Date Sort descending	Letter Type	Commenter Name
Oct. 31, 2006	Public Comment	Jeffrey B. Broadhurst, MBA, CFA, CFP, Lansdale, Pennsylvania

Last Reviewed or Updated: Dec. 18, 2025

File Number

S7-16-06

Release Number

34-54575

How to submit comments

Rules & Regulations

Enforcement & Litigation

Compliance

Comments on Proposed Rule: Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers also Registered as Futures Commission Merchants

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Comments on Proposed Rule: Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers also Registered as Futures Commission Merchants

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