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SEC Amends Broker-Dealer Net Capital and Customer Protection Rules

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August 2, 2013
Client Alert

The Securities and Exchange Commission recently adopted amendments to the broker-dealer net capital rule, customer protection rule and related rules under the Securities Exchange Act of 1934. These rules include Rules 15c3-1, 15c3-3, 17a-3 and 17a-4, and 17a-11. The amended rules will be effective 60 days after publication in the Federal Register, which has not yet occurred as of the date of this Client Alert.

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