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SEC Proposes To Amend Broker-Dealer Customer Protection Rule Reserve Account Calculation Requirements | Perkins Coie
The U.S. Securities and Exchange Commission (SEC) proposed to amend Exchange Act Rule 15c3-3 (the Customer Protection Rule)[1] on July 12, 2023. If adopted, the proposed amendments.
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Security based swaps
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Broker dealer reserve requirements
Broker dealer customer protection rule
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Segregation requirements
Security based swap dealers
SEC Division Of Examinations Releases Its 2022 Examination Priorities - Corporate/Commercial Law
On March 30, 2022, the SEC's Division of Examinations (the "Division") released its 2022 examination priorities (the "Priorities").
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Commission interpretation regarding standard
Bank secrecy
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Purpose acquisition companies
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Exchange act rule
Investment company examination
Significant rule changes for private fund
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