Rule 15c3-1 was adopted in 1971 to ensure that brokers and dealers maintain sufficient liquid assets in excess of liabilities to promptly satisfy the claims of customers in the event the broker or dealer fails.
The latest form for Rule 15c3-1; Net Capital Requirements for Brokers and Dealers expires 2023-06-30 and can be found here.
Document Name |
---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |
Supplementary Document |
Supplementary Document |
Supplementary Document |
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight