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Industry Professionals > Regulation > Guidance > Interpretations of Financial & Operational Rules  

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SEC Rule 15c3-1 - Withdrawn Interpretation
Collateralized Mortgage Obligation (CMO) Haircuts  
Discretionary Liabilities  
Non-Negotiable Certificates of Deposit Issued by a Bank  
Proprietary Positions in Debt Instruments Issued by a Parent or Affiliate of a Broker/Dealer  
 

SEC Rule 15c3-3 - Withdrawn Interpretation
Ability of a (k)(2)(ii) Broker/Dealer to Write Checks on Behalf of the Clearing Firm  

Interpretations By SEC Rule

  • SEC Rule 15c3-1
  • SEC Rule 15c3-3
  • SEC Rule 17a-3
  • SEC Rule 17a-5
  • SEC Rule 17a-13
  • Withdrawn Interpretations
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