federal_register: 97-33400
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
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| document_number | title | type | abstract | publication_date | pub_year | pub_month | html_url | pdf_url | agency_names | agency_ids | excerpts |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 97-33400 | Net Capital Rule | Proposed Rule | The Securities and Exchange Commission is continuing its study of its approach to determining net capital requirements for broker- dealers. As part of its study, the Commission is considering the extent to which statistical models should be used in setting the capital requirements for a broker-dealer's proprietary positions. Accordingly, the Commission is posing a number of questions on this subject as well as soliciting views on other possible alternatives for establishing net capital requirements. | 1997-12-30 | 1997 | 12 | https://www.federalregister.gov/documents/1997/12/30/97-33400/net-capital-rule | https://www.govinfo.gov/content/pkg/FR-1997-12-30/pdf/97-33400.pdf | Securities and Exchange Commission | 466 | The Securities and Exchange Commission is continuing its study of its approach to determining net capital requirements for broker- dealers. As part of its study, the Commission is considering the extent to which statistical models should be used in... |