Capital Requirements for Broker-Dealers | Practical Law

Capital Requirements for Broker-Dealers | Practical Law

A Practice Note discussing the capital requirements for broker-dealers established by Securities Exchange Act Rule 15c3-1 (Net Capital Rule). This Note provides an overview of the Net Capital Rule and associated SEC interpretations and no-action letters. This Note also includes guidance for complying with certain aspects of the Net Capital Rule.

Capital Requirements for Broker-Dealers

Practical Law Practice Note w-020-6415 (Approx. 14 pages)

Capital Requirements for Broker-Dealers

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
A Practice Note discussing the capital requirements for broker-dealers established by Securities Exchange Act Rule 15c3-1 (Net Capital Rule). This Note provides an overview of the Net Capital Rule and associated SEC interpretations and no-action letters. This Note also includes guidance for complying with certain aspects of the Net Capital Rule.