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Comments on Rulemaking Petition: Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collaterial Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies

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Date Sort descending	Letter Type	Commenter Name
Sept. 12, 2013	Public Comment	Lee A. Pickard, Pickard and Djinis LLP
Jan. 7, 2004	Public Comment	J. Charles Cardona, Vice Chairman, The Dreyfus Corporation
Aug. 29, 2003	Public Comment	Craig S. Tyle, General Counsel, Investment Company Institute

Last Reviewed or Updated: Dec. 18, 2025

File Number

4-478

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Comments on Rulemaking Petition: Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collaterial Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies

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Comments on Rulemaking Petition: Request for Rulemaking to Amend Rules 15c3-1 and 15c3-3 Concerning Net Capital and Collaterial Treatment of Broker-Dealers' Investment in Shares of Certain Registered Investment Companies

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