Commission Proposes to Amend Broker-Dealer Net Capital, Customer Protection Rules
March 01, 2007
The Securities and Exchange Commission (the "Commission") has issued a release requesting comment on several proposals to amend the net capital, customer protection, books and records, and notification rules for broker-dealers under the Securities Exchange Act of 1934 (the "Exchange Act"). The amendments touch on a broad range of provisions of the rules that are in need of clarification or that have become obsolete in some respects.
