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Securities and Exchange Commission (SEC) › Customer Protection Rule › Financial Institutions

Morrison & Foerster LLP

U.S. SEC Extends Compliance Deadline for Recent Amendments to the Customer Protection Rule

Morrison & Foerster LLP on

On June 25, 2025, the U.S. Securities and Exchange Commission (SEC) voted to extend the compliance deadline for recent amendments to Exchange Act Rule 15c3-3 (the “Customer Protection Rule”) to June 30, 2026. The amendments,...more

Orrick, Herrington & Sutcliffe LLP

SEC amends the Broker-Dealer Customer Protection Rule

Orrick, Herrington & Sutcliffe LLP on

On January 13, the SEC published to the Federal Register a final amendments to Rule 15c3-3 – the Broker-Dealer Customer Protection Rule – to require daily reserve calculations for certain large broker-dealers. The...more

Goodwin

Financial Institution Diversity Voluntary Self-Assessments: Due September 30

Goodwin on

Financial Institution Diversity Voluntary Self-Assessments: Due September 30 - On July 13, the FDIC issued a financial institution letter announcing that FDIC-supervised financial institutions are encouraged to...more

Katten Muchin Rosenman LLP

FINRA Updates Its Interpretation of the SEC’s Financial Responsibility Rules

Katten Muchin Rosenman LLP on

In June, the Financial Industry Regulatory Authority updated its interpretations of the Securities and Exchange Commission Rules 15c3-1 (net capital) and 15c3-3 (customer protection). Among other things, FINRA updated its...more

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