# Financial Responsibility Rules for Broker-Dealers
> **US Securities and Exchange Commission** · Final rule. · Published 2013-08-21 · Effective 2013-10-21 · 78 FR 51824
## Document
- **Document number:** 2013-18734
- **Category:** final-rule
- **Agency:** US Securities and Exchange Commission
- **Federal Register citation:** 78 FR 51824
- **CFR reference:** 17 CFR 240
- **Publication date:** 2013-08-21
- **Effective date:** 2013-10-21
- **Docket:** Release No. 34-70072
## Abstract

The Securities and Exchange Commission ("Commission") is adopting amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers promulgated under the Securities Exchange Act of 1934 ("Exchange Act"). These amendments are designed to address several areas of concern regarding the financial responsibility requirements for broker-dealers. The amendments also update certain financial responsibility requirements and make certain technical amendments.

## Source
- [Federal Register document](https://www.federalregister.gov/documents/2013/08/21/2013-18734/financial-responsibility-rules-for-broker-dealers)
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