federal_register: 97-33401
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 97-33401 | Net Capital Rule | Proposed Rule | The Securities and Exchange Commission (``Commission'') is proposing for comment amendments to Rule 15c3-1 (``net capital rule'' or ``Rule'') under the Securities Exchange Act of 1934 (``Act''), regarding the Commission's capital requirements for broker-dealers. The proposed amendments, if adopted, would alter the charges, or ``haircuts,'' from net worth in computing net capital for certain interest rate instruments, including government securities, investment grade nonconvertible debt securities, certain mortgage-backed securities, money market instruments, and debt-related derivative instruments. | 1997-12-30 | 1997 | 12 | https://www.federalregister.gov/documents/1997/12/30/97-33401/net-capital-rule | https://www.govinfo.gov/content/pkg/FR-1997-12-30/pdf/97-33401.pdf | Securities and Exchange Commission | 466 | The Securities and Exchange Commission (``Commission'') is proposing for comment amendments to Rule 15c3-1 (``net capital rule'' or ``Rule'') under the Securities Exchange Act of 1934 (``Act''), regarding the Commission's capital requirements for... |