1
/
of
1
BD- Broker-Dealer Minimum Net Capital Certification
BD- Broker-Dealer Minimum Net Capital Certification
Regular price
$25.00 USD
Regular price
Sale price
$25.00 USD
Unit price
/
per
Couldn't load pickup availability
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
Published by: Connexien
View full details![BD- Broker-Dealer Minimum Net Capital Certification](http://store.connexien.com/cdn/shop/products/BD-_Broker-Dealer_Minimum_Net_capital_Certification_12022017.png?v=1512312682&width=1445)