Many financial scams involve unregistered or unlicensed individuals, or the sale of unregistered investments. That's why it’s particularly important to ask questions about investments and investment professionals and do your own research to confirm their answers.
Net Capital
Liquidity Management
Credit Risk Management
Segregation of Assets and Customer Protection
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Vendor Display Rule
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Financial Management
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Net Capital
Net CapitalLiquidity Risk ManagementCredit Risk ManagementPortfolio Margin and Intraday TradingSegregation of Assets and Customer ProtectionPrevious:Market Access RuleUp:Financial ManagementNext:Net Capital
Net Capital
Liquidity Risk Management
Credit Risk Management
Segregation of Assets and Customer Protection
Portfolio Margin and Intraday Trading NEW FOR 2022
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Market Access Rule
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Financial Management
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Net Capital
Regulatory Obligations
Exchange Act Rule 15c3-1 (Net Capital Rule) requires firms to maintain net capital at specific levels to protect customers and creditors from monetary losses that can occur when firms fail.
Noteworthy Examination Findings
FINRA has continued to identify some of the same concerns noted in the Net Capital and Credit Risk Assessments section of the 2017 Report and Accuracy
Robert L.D. Colby's Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Net Capital
Liquidity Risk Management
Credit Risk Management
Portfolio Margin and Intraday Trading
Segregation of Assets and Customer Protection
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Regulation SHO – Bona Fide Market Making Exemptions and Reuse of Locates for Intraday Buy-to-Cover Trades
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Financial Management
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Net Capital
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Observations on Liquidity and Credit Risk Management
Segregation of Client Assets
Net Capital Calculations
