net capital rule การใช้

• He emphasized he was speaking about the net capital rule in general and not specifically Boston Group.
• The SEC noted the case is the largest penalty for a violation of the net capital rule.
• The persistent confusion about the application of the net capital rule to CSE Holding Companies, however, resurfaced in the FCIC Report.
• Blech fell out of compliance with certain net capital rules and its clearing agent, Bear, Stearns & Co ., had halted business.
• -- A concept release, or preliminary proposal, that would change the net capital rule for broker-dealers so it incorporates modern hedging techniques.
• The PSE also explained that it cannot touch brokerages violating the net capital rule because the bourse has yet to adapt it as one of its own rules.
• "Blech voluntarily ceased conducting a securities business because they were not able to prove compliance with the Securities and Exchange Commission's net capital rules,"
• "For firms frustrated by the commission's net capital rules, Christmas might be coming a bit early, " said SEC commissioner Laura S . Unger.
• Most likely, the allegations would be of aiding and abetting securities fraud, along with record-keeping violations, which allowed Baron to operate outside of net capital rules.
• The 1975 uniform net capital rule continued many features of the existing SEC net capital rule, but adopted other ( more stringent ) requirements of the NYSE net capital rule.
• The 1975 uniform net capital rule continued many features of the existing SEC net capital rule, but adopted other ( more stringent ) requirements of the NYSE net capital rule.
• The 1975 uniform net capital rule continued many features of the existing SEC net capital rule, but adopted other ( more stringent ) requirements of the NYSE net capital rule.
• In the same letter, the PSE dismissed allegations they had not been referring to the Commission all member-brokers that were found to have violated the net capital rule of the RSA.
• The SEC's " Uniform Net Capital Rule " ( the " Basic Method " ) was adopted in 1975 following a financial market and broker record-keeping crisis during the period from 1967-1970.
• Landmark remains in business, with Hanifen Imhoff still clearing customer trades for the firm, and Landmark said it was in compliance with Nasdaq net capital rules, meaning that Landmark can execute trades through other market makers.
• In the second half of last year, the SEC imposed one of the stiffest penalties against a brokerage house when it fined R . Coyiuto Securities Inc . P625, 000 for violation of the net capital rule.
• The SEC had maintained a net capital rule since 1944, but had exempted broker-dealers subject to " more comprehensive " capital requirements imposed by identified exchanges such as the New York Stock Exchange ( NYSE ).
• Blech's firm, D . Blech & Co ., ceased securities operations on Sept . 22, after it was unable to prove compliance with the Securities and Exchange Commission's net capital rules.
• Rapee Sucharitkul, director of capital market development, said despite the haircut rule delay, the SEC will maintain its intention to impose the 3 per cent net capital rule ( NCR ) requirement at the end of 1998.
• According to a reliable source, the SEC is again poised to suspend the operation of another brokerage firm for multiple violations of the RSA including the net capital rule, insider trading, and the use of dummy accounts.