Customer Protection Rule, SEC Rule 15c3-3 |
Auction Rate Securities |
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Temporary Relief from the Requirements of FINRA and SEC Rules Regarding the Net Capital Charges Applicable to Credit Extended on Non-Marginable ARPS
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Update to the April 11, 2008, Interpretive Letter: Auction Rate Preferred Securities (April 24, 2008)
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Buy-Sell Transactions |
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Buy-Sell Transactions are Considered Reverse Repurchase Positions
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Credits |
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CBOE Member is not a Customer
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Continuous Net Settlement
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Credit Balances in all Suspense Accounts
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Credit Balances Resulting From Principal Purchases From Customers*
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Customer Checks that are not deposited are Credits in the Reserve Formula
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Customer Credit Balances Related to Deposits in a Special Trust or Agency Account*
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Customer Credit Offset by Securities in Legal Transfer*
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Customer Payments Prior to Settlement Date
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Fails Resulting From Transactions in Joint International Arbitrage Accounts With Customers*
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Fails to Receive and When-issued Short Positions Relating to Unit Investment Trusts*
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Foreign Broker-dealers Considered as Customers
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NSCCs RECAPS Program
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Overdrafts in Bank Accounts*
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Postdated Customer Checks*
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Prepayments of Fails to Receive
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Proprietary Short Sales to Customers
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Reconfirmation of Securities In Transfer
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Registration Fee/Commission Refund as a Credit in the Reserve Formula*
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Same Customer on Both Sides of a Repurchase/Reverse Repurchase Transaction*
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Short Credit Balances*
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Short Securities Positions in Suspense Accounts with Related Credit Balances
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TEFRA Accounts Payable
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Zero Balance or Overdraft Bank Accounts*
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Debits |
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Accrued Custodial Fees Receivable - IRA Accounts
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Accrued Interest Receivable on Customers Margin Debits*
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Continuous Net Settlement
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Credit Balances Resulting From Principal Purchases From Customers*
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Customer Credit Offset by Securities in Legal Transfer*
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Debits in Customers' Accounts Collateralized by Restricted Securities Are Not Included in Reserve Formula Computation
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Dividends and Interest Receivable*
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Estate Account Debit Balances
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Fail to Deliver Securities in Transfer*
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Fails Resulting From Transactions in Joint International Arbitrage Accounts With Customers*
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Non-purpose Loan Receivables*
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NSCCs RECAPS Program
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Paying Customers Prior to Settlement Date*
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SEC Rule 15c3-3(a)(5)-Definition-Excess Margin Securities
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Exemptions |
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Exemptions, Checks Written by Introducing Firm on Behalf of the Clearing Firm
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Exemptions, Commission Recapture/Commission Rebate Program of Introducing Brokers
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Receipt of Customer Funds and Securities
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Receipt of Securities by Introducing Broker-Dealers
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Sale of Registered Investment Company Shares
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Self- Clearing of Commodities Transactions
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PAIB |
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Customers' Unsecured/Partly Secured Deficit Offset by Correspondents Deposits*
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DVP/RVP Accounts
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Physical Possession or Control of Securities |
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ADRs and Ordinary Shares
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Bonds Called For Redemption
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Bonds Tendered For Early Redemption
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Borrowing Required in Lieu of Buy-in
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Broker-Dealers Acting as 'Finders' or 'Conduits'
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Buy-in of Mortgage Backed Securities
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Commingled Securities under Custody Agreements
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Conversion of Securities Recalled from Loan to Fails to Receive
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Convertible Securities
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Credit Unions and Savings and Loan Associations as Control Locations
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Customer Bulk Deposit Accounts at OCC
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Deficiency of less than a Full Unit of Trading
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Designation of Margin and Excess Margin Securities
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Dividend Claim against Customer
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Dividends Payable, Suspense, and Difference Accounts
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Foreign-Issued, Foreign-Settled Securities
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Foreign Futures and Option Transactions
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Holding Valueless or Non-Transferable Customer Securities
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Issuers of Commercial Paper as Control Locations
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Long Option Positions
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Mutual Funds- Acknowledgement Letters
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Omnibus Account
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Records That Reflect Excess/Deficit Condition for Possession and Control Purposes
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Requirement to Reduce Securities to Possession or Control Applies to Municipal Transactions
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Rule 144 Securities in Transfer
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Same-day Turnarounds
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Same-day Turnarounds concerning Securities Borrowed and Fails to Deliver
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Securities Depository Position Report of Transfer Items
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Segregation Management Allocation System
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Special Custody Account for Accommodation Transfers as a Good Control Location
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Stock Splits
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Use of Nominee Name to Hold Customer Fully Paid Securities
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Use of Same-Day Turnarounds Privilege
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Use of Securities Subject to a Buy-in Procedure
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Validations of Items In Transfer Carried In A Special Omnibus Account
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Requirement to Reduce Securities to Possession or Control |
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Delivery of Securities to a Customer that Creates or Increases a Deficiency
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Increasing a Deficit By Trading Short From Inventory
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Reserve Bank Account |
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Borrowed Treasury Securities
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Conditions For Deposit Of Qualified Securities in a Reserve Bank Account
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Exempt Securities
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Fed Funds may be non- qualified Reserve Deposits
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Hindsight Notification for a Reserve Deficiency
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Money Market Deposit Account (MMDA)
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Money Market Funds
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Multiple Reserve Bank Account Withdrawals
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Offshore Funds are Not Permitted for Reserve Deposit Requirements
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Qualified Securities On Deposit
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Repurchase Agreements
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Requirement To Make Reserve Deposit When A Subsequent Calculation Shows No Deposit Is Required
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Reserve Account Notification Letter
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Reserve Bank Account Cash Deposits with Parent and/or Affiliated Bank
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Reserve Deposits Made From Overdrawn Account
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Sale And Delivery Of Securities Deposited In The Reserve Account
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Self-Clearing Broker- Dealers with no Customers
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Reserve Computation |
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Banks and Institutions are Customers*
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CBOE Member is not a Customer
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Credit Balances Arising from Limited Partnership Unit Sale
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Cross Liens Prohibited on Customers Securities*
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Customers' Unsecured/Partly Secured Deficit Offset by Correspondents Deposits*
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Money Market Deposit Account (MMDA)
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Netting of Money Market Fund Payables by Amounts Receivable from Money Market Funds*
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Non-Regulated Commodity Accounts
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PAIB Proprietary Accounts
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PAIB Reserve Deposit
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Prepaid Investment Advisory Fees*
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Proprietary Long Positions Allocated to Unsecured Customer Short Positions
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Reducing Credits To Avoid Deposit Is Prohibited
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Self-Clearing Broker- Dealers with no Customers
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Validations of Items In Transfer Carried In A Special Omnibus Account
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When Customer Securities Are Fully Paid
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Zero Balance or Overdraft Bank Accounts*
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Unendorsed Stock Certificates |
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Unendorsed Stock Certificates, Customer Debits, Inadequately Secured
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