Broker-Dealer: Customer Funds

Rule 15c3-2 Customers' free credit balances

Text of rule

29 FR 7240 6.03.64

Rule 15c3-3 Reserves and custody of securities

Rule 15c3-3(a) Definitions

Text of rule

Customer
Securities carried for the account of a customer ...
customer securities
Fully paid securities
Margin securities
Excess margin securities
Qualified security
Bank
Free credit balances
Other credit balances
Funds carried for the account of any customer ...
customer funds
Principal officer
Household members and other persons related to principals
Affiliated person
Securities account
Futures account ... commodity account

Rule 15c3-3(b) Physical possession or control of securities

Text of rule

Rule 15c3-3(c) Control of securities

Text of rule

Rule 15c3-3(d) Reducing securities to possession or control

Requirement to reduce securities to possession or control
Text of rule

Rule 15c3-3(e) Special reserve bank account

Special reserve bank account for the exclusive benefit of customers
Text of rule

Rule 15c3-3(f) Notification of banks

Text of rule

Rule 15c3-3(g) Withdrawals from the reserve bank account

Text of rule

Rule 15c3-3(h) Buy-in of short security differences

Text of rule

Rule 15c3-3(i) Failure to make a required deposit

Notification in the event of failure to make a required deposit
Text of rule

Rule 15c3-3(j) [Reserved]

Reserved

Rule 15c3-3(k) Exemptions

Text of rule

Rule 15c3-3(l) Delivery of securities

Text of rule

Rule 15c3-3(m) Completion of sell order

Completion of sell orders on behalf of customers
Text of rule

Rule 15c3-3(n) Extensions of time

Text of rule

Rule 15c3-3(o) Security futures products

Text of rule

Rule 15c3-3a Reserve requirement under Rule 15c3-3

Text of rule

e-CFR Version GPO website

SEC Releases

Final release 34-47480 2003

Customer Protection Reserves and Custody of Securities
68 FR 12780, 12783 3.17.03

Proposal release 34-46019 2001

Comment letters

SEC Order - Release 34-47683 2003

Final release 34-46471 2002

Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products
67 FR 58284, 58299 9.13.02

Proposal release 34-44996 2001
Proposal release 34-44854 2001

Comment letters

// This display the document title in the html page document.write(document.title);