Rules & Regulations

This is the net capital rule

(a) Definitions. (1) The term unlisted option shall mean any option not included in the definition of listed option provided in paragraph (c)(2)(x) of §240.15c3-1. ...

(a) Every broker or dealer in computing net capital pursuant to 17 CFR 240.15c3-1 shall comply with the following: (1) Where a broker or dealer ...

(a) Flow through capital benefits. Every broker or dealer in computing its net capital and aggregate indebtedness pursuant to 17 CFR 240.15c3-1 shall, subject to ...

(a) Introduction. (1) This appendix sets forth minimum and non-exclusive requirements for satisfactory subordination agreements (hereinafter “subordination agreement”). The Examining Authority may require or the ...

Preliminary Note: Appendices E and G to the net capital rule set forth a program that allows a broker or dealer to use an alternative ...

Application Requirements (a) An OTC derivatives dealer may apply to the Commission for authorization to compute capital charges for market and credit risk pursuant to ...

As a condition for a broker or dealer to compute certain of its deductions to capital in accordance with §240.15c3-1e, pursuant to its undertaking, the ...

(a) Definitions. For the purpose of this section: (1) The term customer shall mean any person from whom or on whose behalf a broker or ...

   Credits Debits 1. Free credit balances and other credit balances in customers' security accounts. (See Note A) XXX   2. Monies borrowed collateralized by ...