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.

We have always been focused on finance.

  • 1913
    TS Chapman partners with Henry Cutler to form Chapman and Cutler
  • 1st
    Chapman's first client in 1913 is still a client of the firm today
  • 22
    Diverse financial practices serving regional, national, and global clients
  • 6
    Offices across the country and in key US financial centers

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