Tag Archives: Net Capital

Monthly Net Capital Computation (Month ending 12/31/2022)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 11/30/2022)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 10/31/2022)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 9/30/2022)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 8/31/2022)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 7/31/2022)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 6/30/2022)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 5/31/2022)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 4/30/2022)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 3/31/2022)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 2/28/2022)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 1/31/2022)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 12/31/2021)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 11/30/2021)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 10/31/2021)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 9/30/2021)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 8/31/2021)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 7/31/2021)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 6/30/2021)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 5/31/2021)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 4/30/2021)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 3/31/2021)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 2/28/2021)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 1/31/2021)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 12/31/2020)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 12/31/20)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 11/30/2020)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 10/31/2020)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 9/30/2020)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 8/31/2020)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 7/31/2020)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 6/30/2020)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 5/31/2020)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 4/30/2020)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 3/31/2020)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 2/29/2020)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 1/31/2020)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 12/31/2019)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly.  That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 11/30/2019)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly.  That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 10/31/2019)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly.  That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 9/30/2019)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly.  That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 8/31/2019)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly.  That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Monthly Net Capital Computation (Month ending 7/31/2019)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly.  That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

SEC Request for Comment: Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers

The Securities and Exchange Commission (“Commission”) is reopening the comment period and requesting additional comment (including potential modifications to proposed rule language) on the following: proposed amendments and new rules that would establish capital and margin requirements for security-based swap dealers (“SBSDs”) and major security-based swap participants (“MSBSPs”) that do not have a prudential regulator, … Continue reading SEC Request for Comment: Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers

Net Capital Computation (Month ending 11/30/2017)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Net Capital Computation (Month ending 10/31/2017)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Net Capital Computation (Month ending 08/31/2017)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Net Capital Computation (Month ending 07/31/2017)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Net Capital Computation (Month ending 05/31/2017)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Net Capital Computation (Month ending 04/30/2017)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Net Capital Computation (Month ending 02/28/2017)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.

Net Capital Computation (Month ending 01/31/2017)

In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to Section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed and approved by the FINOP within 17 business days after the end of each month.