BD- Broker-Dealer Minimum Net Capital Certification

The Broker-Dealer Minimum Net Capital Certification is a useful tool for confirming compliance with a broker-dealer's minimum net capital requirement in accordance with Rule 15c3-1 of the Securities Exchange Act of 1934. The Certification is often used when applying for broker-dealer state registrations where net capital certifications are required, regulatory inquiries involving net capital, as well as part of a broker-dealer's monthly and/or quarterly financial reporting requirements. Members also downloaded California Broker Dealer Registration Requirements Guide.

Version/Update: V.1/December 2, 2017

Total Page Count: 1

Source/Author(s): Connexien