Regulacje i polityka gospodarcza · 30.12.1997

Net Capital Rule

The Securities and Exchange Commission is continuing its study of its approach to determining net capital requirements for broker- dealers. As part of its study, the Commission is considering the extent to which statistical models should be used in setting the capital requirements for a broker-dealer's proprietary positions. Accordingly, the Commission is posing a number of questions on this subject as well as soliciting views on other possible alternatives for establishing net capital requirements.