ONTOLOGY EXPLORER
SEC Rule 15c3-3
<https://spec.edmcouncil.org/fibo/ontology/SEC/Securities/NorthAmericanSecurities/USSecuritiesRestrictions/SECRule15c3-3>
プロパティと値
| プロパティ | 値 |
|---|---|
| type | NamedIndividual |
| type | SecuritiesRegulation |
| label | "SEC Rule 15c3-3" |
| definition | "securities regulation that applies to broker-dealers registered under section 15(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78o(b)), or that are security-based swap dealers or major security-based swap participants under section 15F(b) of the Act (15 U.S.C. 78o-10(b)), requiring them to maintain reserve accounts to protect customer funds, segregate customer securities in custody accounts, and if a security sold long has not been delivered within 10 business days after the settlement date, requires them to either buy the customer in, or apply for and receive an extension from its designated examining authority" |
| adaptedFrom | "https://www.finra.org/rules-guidance/guidance/interpretations-financial-operational-rules/sea-rule-15c3-3-and-related-interpretations" |
| isApplicableIn | UnitedStatesJurisdiction |
この項目への参照
このグラフ内での参照はありません。