Rule 3a40-1
  Designation of Financial Responsibility
Rules
The term financial responsibility rules for purposes of
the Securities Investor Protection Act of 1970 shall include:
a. Any
rule adopted by the Commission pursuant to sections
8,
15(c)(3),
17(e)1(A) of
the Securities Exchange Act of 1934;
b. Any
rule adopted by the Commission relating to hypothecation or lending of
customer securities;
c. Any
rule adopted by any self-regulatory organization relating to capital,
margin, recordkeeping, hypothecation or lending requirements; and
d. Any
other rule adopted by the Commission or any self-regulatory organization
relating to the protection of funds or securities.
|
