Regulatory Alerts2012-05-09 | 2012-11133Added · Updated
Amendments to Financial Responsibility Rules for Broker-Dealers
The Securities and Exchange Commission is reopening the public comment period for proposed amendments to its net capital, customer protection, books and records, and notification rules for broker-dealers. The Commission originally issued these proposals in March 2007 but did not act on them, prompting this 30-day extension to solicit additional feedback given the passage of time and evolving economic conditions. Comments must be received on or before June 8, 2012, via electronic or paper submission methods designated by the agency.
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