Rule 15c3-1; Net Capital Requirements for Brokers and Dealers

ICR 202301-3235-012

OMB: 3235-0200

Federal Form Document

Forms and Documents

Document Name	Status
3235-0200.pdf Supplementary Document	2023-03-30
3235-0200.pdf Supplementary Document	2023-03-30
DGL FINAL REVISED 2023 Rule 15c3-1 Supporting Statement (v3 - Burden Comparison Chart Added).pdf Supporting Statement A	2023-01-19
3235-0200 30 Day Notice.pdf Supplementary Document	2020-04-20
3235-0200 60 Day Notice.pdf Supplementary Document	2020-04-20
August 2019 SUPPORTING STATEMENT Rule 15c3-1 (3235-0200) Final Rule.pdf Supplementary Document	2020-01-16

IC Document Collections

IC ID	Document Title	Status
42976	Rule 15c3-1; Notices	Modified
236947	NEW: 15c3-1(c)(2)(xiv): Account control agreements – Opinion of Counsel	Modified
236945	NEW: 15c3-1 Account Control Agreements – Outside Counsel Review (Costs)	Modified
236941	NEW: 15c3-1(c)(2)(xiv): Account control agreements – Outside Counsel Review (Hours)	Modified
236939	NEW: 15c3-1(c)(2(vi)(O)(l)(iii): Industry sector classification	Modified
236938	NEW: Rule 15c3-4: Risk management control system	Modified
208585	Rule 15c3-1 -- Reviewing procedures to determine creditworthiness to avoid 15% haircut	Modified
208584	Rule 15c3-1 -- Creating procedures to determine creditworthiness to avoid 15% haircut	Modified
207432	Rule 15c3-1; Opinion of counsel to file consolidated financial reports under Appendix C	Unchanged
206989	Rule 15c3-1; Appendix G updating risk management profile for new ANC firms	Unchanged
206988	Rule 15c3-1; Appendix G updating risk management profile for existing ANC firms	Unchanged
206987	Rule 15c3-1; Appendix G notification provision for new ANC firms	Unchanged
206986	Rule 15c3-1; Appendix G notification provision for existing ANC firms	Unchanged
206985	Rule 15c3-1; Appendix G recordkeeping for new ANY firms (ongoing)	Unchanged
206984	Rule 15c3-1; Appendix G recordkeeping for existing ANC firms	Unchanged
206983	Rule 15c3-1; Appendix G recordkeeping for new ANC firms (initial)	Unchanged
206981	Rule 15c3-1; Appendix G annual reports for new ANC firms	Unchanged
206980	Rule 15c3-1; Appendix G quarterly reports for new ANC firms	Unchanged
206979	Rule 15c3-1; Appendix G monthly reports for new ANC firms	Unchanged
206978	Rule 15c3-1; Appendix G annual reports for existing ANC firms	Unchanged
206977	Rule 15c3-1; Appendix G quarterly reports for existing ANC firms	Unchanged
206976	Rule 15c3-1; Appendix G monthly reports for existing ANC firms	Unchanged
206975	Rule 15c3-1; Reviewing and back testing models for new ANC firms	Unchanged
206974	Rule 15c3-1; Reviewing and back testing models for existing ANC firms	Unchanged
190804	Rule 15c3-1; Appendix E computations for ANC firms	Unchanged
190803	Rule 15c3-1; Paragraph (c)(2)(i)(G)(2): Capital Withdrawal Liability	Modified
190802	Rule 15c3-1; Paragraph (c)(2)(iv)(B): Disclosures and Agreements	Unchanged