An SEC rule requiring broker/dealers maintain sufficient liquid assets to satisfy their capital requirements.
Related information about Rule 15c3-1:
- Net Capital Requirements For Brokers Or Dealers - finra
A dealer that elects to operate under SEA Rule 15c3-1(a)(6) will be subject to the .... broker-dealer that carries customer accounts (See SEA Rule 15c3-1(a)(2)(i).) ...
- Interpretations of Financial and Operational Rules - FINRA
Oct 15, 2008 ... The interpretations use a numbering convention of /## (e.g., /01 of SEA Rule 15c3-1(c)(2)(vii)) or in some cases /### (e.g., /021 of SEA Rule ...
- Rule 15c3-1 - Financial Dictionary - The Free Dictionary
An SEC rule setting capital requirements for brokers and dealers. Under Rule 15c3-1, a broker or dealer must have sufficient liquidity in order to cover the most ...
- Key. SEC Financial Responsibility Rules - Securities and Exchange ...
SEC amended the net capital rule (Rule 15c3-1) in 1975 to establish uniform net capital standards for brokers and dealers' registered with SEC under. Section ...
- Net capital rule - Wikipedia, the free encyclopedia
The continued use by the five CSE Brokers of the alternative net capital computation method established by Appendix E of SEC Rule 15c3-1 (which is in SEC ...
- Introduction to Net Capital Rule 15c3-1 - Financial Training Course
This one day program focuses on both the Standard Method and the Alternate Method of computing Net Capital as required by Rule 15c3-1 of the Securities ...
- 17 CFR 240.15c3-1 - Net capital requirements for brokers or dealers ...
Apr 1, 2012 ... The provisions of Appendix B to Rule 15c3-1 ( 17 CFR 240.15c3-1b) will in any event apply to the positions in futures contracts. (5) In the case ...
- What is Rule 15c3-1? definition and meaning
Definition of Rule 15c3-1: An SEC rule requiring broker/dealers maintain sufficient liquid assets to satisfy their capital requirements.