Regulatory Notice 08-46
Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers’ Clearing Deposits; Effective Dates: Immediately with respect to Interpretation I; January 5, 2009, with respect to Interpretation II
This Notice provides FINRA member firms with interpretive guidance from the staff of the Securities and Exchange Commission's Division of Trading and Markets regarding clearing deposits:
We strongly encourage all firms that are a party to a clearing agreement to review this Notice carefully for its impact and any action that may be necessary.
Questions regarding this Notice may be directed to:
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