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Regulação de mercados · 18/07/20231 min de leitura
Daily Computation of Customer and Broker-Dealer Reserve Requirements Under the Broker-Dealer Customer Protection Rule
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Resumo
The Securities and Exchange Commission ("Commission") proposes to amend the broker-dealer customer protection rule to require certain broker-dealers to perform their customer and broker-dealer reserve computations and make any required deposits into their reserve bank accounts daily rather than weekly. The Commission also is seeking comment on whether similar daily reserve computation requirements should apply to broker-dealers and security-based swap dealers with respect to their security-based swap customers.
Idioma original da fonte: Federal Register — SECAbrir o comunicado original →