Reference: Ref-16963
| Reference Name: | 28 - SEC Rule 15c3-3 and Exhibit A (17 C.F.R. §§240.15c3-3 and 240.15c3-3a) (4-1-23 edition) |
| Agency: | 69 Department of Financial Services 69W Securities |
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| Description: | 28 - SEC Rule 15c3-3 and Exhibit A (17 C.F.R. §§240.15c3-3 and 240.15c3-3a) (4-1-23 edition) | |||||
Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.
Rules/Notices using this Reference Material| Notice / Adopted |
Description | ID | Publish Date |
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The purpose and effect is to amend the existing rule to incorporate by reference the current versions of general industry standards, including FINRA Rule 3110 as amended by SR-FINRA-2024-015 eff. November 26, 2024. | 29726249 |
6/30/2025 Vol. 51/126 |
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General Industry Standards Incorporated by Reference | 28752466 |
Effective: 10/01/2024 |
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