Reference: Ref-20285
| Reference Name: | SEC Rule 15c3-3 and Exhibit A (17 C.F.R. §§240.15c3-3 and 240.15c3-3a) 4-1-25 |
| Agency: | 69 Department of Financial Services 69W Securities |
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| Description: | SEC Rule 15c3-3 and Exhibit A (17 C.F.R. §§240.15c3-3 and 240.15c3-3a) 4-1-25 | |||||
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 rules to incorporate by reference the current versions of general industry standards and to delete the definitions of “Bona Fide Employee” and “Qualified Institutional Buyer.”.... | 31490970 |
10/13/2026 Vol. 52/199 |
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