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U.S. Securities and Exchange Commission

Division of Trading and Markets
Broker-Dealer Net Capital
and Books and Records Guidance


  *  Office of Broker-Dealer Finances Guidelines
  *  Related No-Action, Exemptive, and Interpretive Letters
  *  Commission Releases
  *  Selected Statutory Provisions and Rules

Office of Broker-Dealer Finances Guidelines

Related No-Action, Exemptive, and Interpretive Letters

Note: These materials are provided in Adobe Acrobat (PDF) format.

Broker-Dealer Books and Records and Reporting Requirements

Broker-Dealers Customer Protection Rule - Rule 15c3-3

Broker-Dealers Net Capital Requirements - Rule 15c3-1

Regulation T

Risk Assessment Rules - Rules 17h-1T and 17h-2T

Commission Releases

  • Notice of Filing of Amendment Nos. 1 and 2 to the Proposed Rule Change Relating to Customer Portfolio Margining; Order Granting Accelerated Approval to the Proposed Rule Change, as Amended (December 12, 2006; File name: 34-54919.pdf)
     
  • Order Approving a Proposed Rule Change to Rule 431 ("Margin Requirements") and Rule 726 ("Delivery of Options Disclosure Document and Prospectus"), and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 to the Proposed Rule Change Relating to Customer Portfolio Margining (December 12, 2006; File name: 34-54918.pdf)
     
  • Order: Extension of Order Regarding Broker-Dealer Financial Statement Requirements under Section 17 of the Exchange Act (December 12, 2006; File name: 34-54920.pdf)
     
  • Order: Extension of Order Regarding Broker-Dealer Financial Statement Requirements under Section 17 of the Exchange Act (December 7, 2005; File name: 34-52909.pdf)
     
  • Order: Extension of Order Regarding Broker-Dealer Financial Statement Requirements under Section 17 of the Exchange Act (July 14, 2004; File name: 34-50020.htm)
     
  • Commission Notice: Broker-Dealer Financial Statement Requirements under Section 17 of the Exchange Act (Aug. 4, 2003; File name: 34-48281.htm)
     
  • Final Rule: Broker-Dealer Exemption from Sending Certain Financial Information to Customers (Aug. 1, 2003; File name: 34-48272.htm)
     
  • Concept Release: Rating Agencies and the Use of Credit Ratings Under the Federal Securities Laws (June 4, 2003; File name: 33-8236.htm)
     
  • Interpretive Release: Electronic Storage of Broker-Dealer Records (May 7, 2003; File name: 34-47806.htm)
     
  • Exemptive Order: Extending Broker-Dealer Exemption from Sending Financial Information to Customers (Nov. 26, 2002; File name: 34-46921.htm)
     
  • Final Rule: Books and Records Requirements for Brokers and Dealers Under the Securities Exchange Act of 1934 (Oct. 26, 2001; File name: 34-44992.htm)
     
  • Final Rule: OTC Derivatives Dealers (Oct. 23, 1998; File name: 34-40594.htm)
     
  • Proposed Rule: Definition of Nationally Recognized Statistical Rating Organizations (Dec. 17, 1997; File name: 34-39457.txt)
     
  • Final Rule: Electronic Recordkeeping: Reporting Requirements for Brokers or Dealers under the Securities Exchange Act of 1934 (Feb. 5, 1997; File name: 34-38245.txt)
     
  • Concept Release: Nationally Recognized Statistical Rating Organizations (Aug. 31, 1994; File name: 34-34616.pdf)
     
  • Final Temporary Risk Assessment Rules (July 21, 1992; File name: 34-30929.pdf)
     
  • Proposed Temporary Risk Assessment Rules (Sep. 6, 1991; File name: 34-29635.pdf)
     
  • Interpretative Release: Guidelines for Control Locations for Foreign Securities (Oct. 12, 1973; File name: 34-10429.pdf)

Selected Statutory Provisions and Rules

 

http://www.sec.gov/divisions/marketreg/bdnetcapital.htm


Modified: 02/21/2013