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SEC Rule Amendment Summary

October 26, 2013 by mavenstrategic

We recently sent out the following cover letter to our clients, along with a .pdf summary. If you would like to receive a copy of our rule amendments summary, please contact us! To our valued clients: On August 21, 2013, The Federal Register published the Final Rule of the SEC on their adoption of amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers operating under the Securities and Exchange Act of 1934.  The SEC issued two releases relating to these Rule amendments.  Each release was over 300 pages.  In the interest of our clients,  we have attempted to summarize these amendments as succinctly and accurately as possible,  with a focus on those items that are most likely to impact our clients.  After each rule summary we include a “Maven Takeaway” – our topside interpretation of the rule change (if you read nothing else, read these).  We encourage questions, challenges, and further review of published documentation.

Filed Under: Blog Tagged With: Broker Dealer Accounting, Broker Dealer FINOP, FINOP, Outsourced FINOP, Rule 15c3-1

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