Loan & Distribution Specialist AimPoint Pension
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Compass
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Bates & Company, Inc.
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AimPoint Pension
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Regional Vice President of Sales The Retirement Plan Company
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Text of SEC Final Rule: Financial Responsibility Rules for Broker-Dealers (PDF)
U.S. Securities and Exchange Commission [SEC] [Official Guidance] July 31, 2013 318 pages. The publication date in the Federal Register has not yet been set. Excerpt: "The [SEC] 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 ... 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." |
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