Compliance, Financial Management 21 Jan 2025 securities exchange, business costs, nasdaq, financial regulation, regulatory fees
Compliance, Financial 15 Jan 2025 compliance, sec, securities, reporting, employee benefits, financial regulation
Compliance, Regulatory Requirements 15 Jan 2025 compliance, national security, financial regulation, sanctions, terrorism
Compliance, Financial Regulation 13 Jan 2025 compliance, sec, securities, reporting and recordkeeping requirements, financial regulation, brokers, investment companies, broker-dealer

📈SEC's Daily Computation Rule Changes for Broker-Dealers

The Securities and Exchange Commission ("Commission") is adopting amendments to the broker-dealer customer protection rule to require certain broker-dealers to perform their reserve computations for accounts of customers and proprietary accounts of broker-dealers and make any required deposits into their reserve bank accounts daily rather than weekly. The Commission also is adopting amendments to the broker-dealer net capital rule and customer protection rule to permit certain broker-dealers that perform a daily reserve computation for accounts of customers to reduce aggregate debit items (i.e., customer- related receivables) by 2% rather than 3% as part of the computation. Finally, the Commission is adopting technical amendments to the Financial and Operational Combined Uniform Single Report ("FOCUS Report") to conform it to the amendments with respect to the lowering of the debit reduction from 3% to 2%.

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Compliance, Financial Regulation 10 Jan 2025 nyse, fees, options trading, financial regulation, self-regulatory organization
Compliance, Regulatory Requirements 10 Jan 2025 sec, trading fees, financial regulation, consolidated audit trail, new york stock exchange
Regulatory Compliance, Financial Implications 8 Jan 2025 compliance, sec, financial regulation, self-regulatory organizations, audit trail fees, investors exchange
Regulatory Compliance, Financial Management 8 Jan 2025 treasury, financial regulation, immigration bonds, interest rates, business finance

💰Treasury Announces 3% Interest Rate for Immigration Bonds (2025)

For the period beginning January 1, 2025, and ending on March 31, 2025, the U.S. Immigration and Customs Enforcement Immigration Bond interest rate is 3 per centum per annum.

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Compliance, Regulatory Change 8 Jan 2025 compliance, trading, securities, financial regulation, nscc
Regulatory Compliance, Financial Implications 8 Jan 2025 sec, financial regulation, consolidated audit trail, box exchange, fee schedule, industry members