The US Securities and Exchange Commission recently adopted important changes to the financial responsibility rules for securities broker-dealers, including changes to the regulatory capital and regulatory reporting rules. The...more
8/20/2013
/ Broker-Dealer ,
Compliance ,
Customer Protection Rule ,
GAAP ,
Lenders ,
Net Capital Rule ,
New Regulations ,
Recordkeeping Requirements ,
Reporting Requirements ,
Risk Mitigation ,
Securities and Exchange Commission (SEC)
FINRA has proposed a trade-reporting rule change that would result in the public dissemination of secondary market transactions in corporate debt securities sold under Securities Act Rule 144A. If adopted, this change could...more