SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings (EDGAR)

  Regulatory Actions


Proposed Rules 
Final Rules 
Concept Releases 
Interpretive Releases 
Policy Statements 
SRO Rules & NMS Plans 
PCAOB 
Exchange Act Exemptive Applications 
Exchange Act Exemptive Orders 
Investment Advisers Act Notices and Orders 
Investment Company Act Notices and Orders 
Investment Company Act Deregistration Notices and Orders 
Other Orders & Notices 
Rulemaking Petitions 
Exchange Delistings 

  Staff Interps

  Investor Info

  News & Statements

  Litigation

  Information for...

  Divisions

Comments on Proposed Rule:
Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers also Registered as Futures Commission Merchants

[Release No. 34-54575; File No. S7-16-06]
Oct. 31, 2006 Jeffrey B. Broadhurst, MBA, CFA, CFP, Lansdale, Pennsylvania

 

 

http://www.sec.gov/comments/s7-16-06/s71606.shtml
Contact | Employment | Links | FOIA | Forms | Privacy
Modified: 11/02/2006