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 New SEC Interpretation of Section 28(e) for Soft Dollars ROGER D. BLANC is a partner at Willkie Farr & Gallagher in New York, NY. Reporting and Audit Requirements. Currently, under Rule 17(a)-5 of the Securities Exchange Act of 1934, a broker-dealer is required to file an annual report with the. BROKER-DEALER AND SECURITIES REGISTRATION. Principal or partner of a New York registered Broker-Dealer between the. 3 See Davis Polk Memorandum “SEC Proposes New. Accounts opened after the effective date of the Financial Responsibility Rules Amendments, the broker-dealer. Broker Dealer Auditing: Mastering New SEC and PCAOB Rules and Standards Complying With Changed Regulatory Framework for Conducting Audits and Attesting to Internal. Broker-Dealer Books and Records and Reporting Requirements. New York Stock Exchange, Inc, Risk Assessment Rules. SEC Adopts New Custody Rules For Broker-Dealers. With the new rules, the broker-dealer is required to. Home > Broker-Dealer > New Proposed SEC Rules for the Disclosure of Order Handling Information. New Proposed SEC Rules for the Disclosure of Order Handling Information. SEC Joins Battle on Broker Bias. White said she will begin talking with other commissioners about the outlines of new rules. Search FINRA Manual: Quick Search Go. Incorporated NYSE Rule Interpretations SEC Rules and Regulations. Tools Rule Filing Status Report Rule. New and Amended Definitions [D][1][a]. Unless such broker or dealer is registered with the SEC in accordance with the Exchange Act. Broker Dealer Auditing: Mastering New SEC and PCAOB Rules and Standards Complying with Changed Regulatory Framework for Conducting Audits and Attesting to Internal. Accelerated basis the PCAOB’s proposed broker-dealer rules, requirements for examining the new SEC compliance reports. Proprietary Accounts of Broker-Dealers. The SEC amended Rules 15c3-3 and 15c3-3a under the Exchange Act to require that. The SEC also added new Rule 17a-4(e. FINRA BD Registration 101: to serve as a primer for prospective SEC and FINRA broker-dealer. Website at (the Exchange Act and rules. Banking & Securities Spotlight — SEC issues. 7 This Banking & Securities Spotlight provides an. To the SEC’s new rules, such broker-dealers would. NASD Rule 1120 requires the continuing education of registered persons associated with the broker-dealer. FINRA BD Registration 101: a primer for prospective SEC and FINRA broker-dealer. At (the Exchange Act and rules are available at http. SEC cracks down on unregistered broker-dealers. Directed the SEC to revise its rules to. The JOBS Act also added a new exemption from broker-dealer. Changes to Broker-Dealer Reporting & Auditing. But are tailored to the requirements for broker-dealers under the new SEC rules. SEC Passes New Rules for Broker Dealers Page 2 Rule was originally scheduled to be October 21, 2013. However, on October 17, 2013, the SEC issued an. SEC Releases Extensive Changes to Broker-Dealer Reporting and Financial Responsibility Rules. Memorandum: New Broker Dealer Financial Responsibility and Financial Reporting Rules. Broker Dealer Auditing: Understanding the New SEC and. Discussion of the SEC and PCAOB New Standards on Broker Dealer. Audits of broker dealers reports filed with SEC made in accordance. New Rules, applicable to audits of year ends on and after June 1, 2014. SEC Approves New Rules and Rule SEC Approves New Rules and. Negative response letters may be used to change the broker-dealer of record for customers' "direct.