Example: stock market
Sea Rule 15c3 3
Found 2 free book(s)
SEA Rule 15c3-3 - FINRA
www.finra.orgSEA 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
SEA Rule 17a-5 - FINRA
www.finra.orgSEA Rule 17a-5 (a) FILING OF MONTHLY AND QUARTERLY REPORTS (1) This paragraph (a) shall apply to every broker or dealer registered pursuant to section 15 of the Act. (2)(i) Every broker or dealer subject to this paragraph (a) who clears transactions or carries customer accounts must file with the Commission Part I of Form X-17A-5 (§ 249.617 of