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)