Final Rule
Financial Responsibility Rules for Broker-Dealers
Overview
The Securities and Exchange Commission ("Commission') is adopting amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers promulgated under the Securities Exchange Act of 1934 ("Exchange Act'). These amendments are designed to address several areas of concern regarding the financial responsibility requirements for broker-dealers. The amendments also update certain financial responsibility requirements and make certain technical amendments.
Prior Actions
Proposed Rule (34-55431)
Release Number
34-55431
SEC Issue Date
March 9, 2007
Federal Register Publish Date
March 19, 2007
Document Citation
72 FR 12861
RIN
3235-AJ85
Proposed Rule (34-55777)
Release Number
34-55777
SEC Issue Date
May 17, 2007
Federal Register Publish Date
May 23, 2007
Document Citation
72 FR 28908
RIN
3235-AJ85
Proposed Rule (34-66910)
Release Number
34-66910
SEC Issue Date
May 3, 2012
Federal Register Publish Date
May 9, 2012
Document Citation
77 FR 27150
RIN
3235-AJ85
Resources
Details
File Number
S7-08-07
Rule Type
Final
Release Number
34-70072
34-66910
SEC Issue Date
July 30, 2013
Effective Date
October 21, 2013
Federal Register Publish Date
Aug. 21, 2013
Document Citation
78 FR 51823
RIN
3235-AJ85