Notice
10 Apr 2025
sec, regulation, broker-dealers, otc derivatives, compliance, financial services
📊SEC Solicits Comments on Appendix F to Rule 15c3-1
The SEC is requesting comments on existing information collection for Appendix F to Rule 15c3-1 related to OTC derivatives dealers. The regulation outlines the criteria for calculating net capital charges in lieu of traditional methods, emphasizing the importance of accurate reporting and internal risk management systems. Comments are invited concerning the necessity and burden of the information collection process.
Learn More