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Rule 15c3-3 Reserve Requirements for Margin Related to Security Futures Products

SEC · final-rule · Published 2004-09-07 · Effective 2004-10-07 · 69 FR 54182

Document

Document number
04-20188
Federal Register citation
69 FR 54182
CFR reference
17 CFR 200
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2004-09-07
Effective date
2004-10-07
Docket
Release No. 34-50295

Abstract

The Securities and Exchange Commission ("Commission") is adopting amendments to the formula for determination of customer reserve requirements of broker-dealers under the Securities Exchange Act of 1934 to address issues related to customer margin for security futures products. The amendments permit a broker-dealer to include margin related to security futures products written, purchased, or sold in customer securities accounts required and on deposit with a registered clearing agency or a derivatives clearing organization as a debit item in calculating its customer reserve requirement under specified conditions. The amendments are intended to help ensure that a broker-dealer is not required to fund its customer reserve requirements with proprietary assets. In addition, the Commission is adopting a rule amendment delegating authority to the Director of the Division of Market Regulation to provide relief, under certain circumstances, from the conditions under which margin related to customer security futures products margin may be included as a debit item.

Source

Authoritative
Federal Register document
Machine
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