Rule 15c3-1

An SEC rule setting capital requirements for brokers and dealers. Under Rule 15c3-1, a broker or dealer must have sufficient liquidity in order to cover the most pressing obligations. This is defined as having a certain amount of liquidity as a percentage of the broker/dealer's total obligations. If the percentage falls below a certain point, the broker or dealer may not be allowed to take on new clients and may have restrictions placed on dealings with current clients.

Rule 15c3-1

An SEC rule that sets minimum net capital requirements for broker-dealers. Firms are expected to have liquid assets equal to or greater than a certain percentage of total liabilities. If the ratio falls below this minimum, the broker-dealer may face restrictions on soliciting new business or on keeping existing business.

单词	rule 15c3-1
释义	Rule 15c3-1 Rule 15c3-1 An SEC rule setting capital requirements for brokers and dealers. Under Rule 15c3-1, a broker or dealer must have sufficient liquidity in order to cover the most pressing obligations. This is defined as having a certain amount of liquidity as a percentage of the broker/dealer's total obligations. If the percentage falls below a certain point, the broker or dealer may not be allowed to take on new clients and may have restrictions placed on dealings with current clients. Rule 15c3-1 An SEC rule that sets minimum net capital requirements for broker-dealers. Firms are expected to have liquid assets equal to or greater than a certain percentage of total liabilities. If the ratio falls below this minimum, the broker-dealer may face restrictions on soliciting new business or on keeping existing business.
随便看	reciprocal curve reciprocal differences reciprocal (disambiguation) reciprocal discovery reciprocal easement and operating agreement reciprocal easements agreement reciprocal ellipsoid reciprocal equation reciprocal ferrite switch reciprocal figures reciprocal forces reciprocal function reciprocal gait orthotic reciprocal geometric mean titer reciprocal heading reciprocal healthcare agreement reciprocal immunity reciprocal impedance reciprocal inhibition reciprocal-inhibition therapy reciprocal innervation reciprocality reciprocal junction reciprocal jurisdiction reciprocal lattice