SEA Rule 15c3-3 - FINRA

SEA Rule 15c3-3 (a) DEFINITIONS . For the purpose of this section: (1) The term “ customer” shall mean any person from whom or on whose behalf a broker or dealer has received or acquired or holds funds or securities for the account of that person. The

  Rules, Finra, 315c, Sea rule 15c3 3

DEPARTMENT OF HEALTH AND HUMAN SERVICES Centers for ...

IA_ERP_3. DATES: Effective date: These regulations are effective on [Insert the date of publication at the Office of the Federal Register]. Applicability date: These regulations are applicable for the duration of the PHE for COVID-19. Section 488.447 is applicable 1 year beyond the expiration of the PHE for COVID-19. Comment date: