United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2006_register executive 2014-05-29 article Part III Proposed Rules D09002ee1c80e98c4 D09002ee1c80e99bf United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission is proposing for comment amendments to conform provisions of its net capital rule to changes to the net capital rule of the Commodity Futures Trading Commission. The proposed amendments would apply to broker-dealers also registered as futures commission merchants with the Commodity Futures Trading Commission. The Securities and Exchange Commission also is proposing to amend certain rules related to subordinated debt agreements to conform those rules to the Commodity Futures Trading Commission's amended net capital rules. Finally, the Securities and Exchange Commission is proposing to amend its early warning provisions to require that it be notified if a broker-dealer also registered as a futures commission merchant must warn the Commodity Futures Trading Commission or a designated self-regulatory organization that its adjusted net capital has fallen below specified levels. 71 FR 60636 https://www.govinfo.gov/app/details/FR-2006-10-13/E6-16956 E6-16956 fr13oc06-18 RIN 3235-AJ72 8011-01-P Release No. 34-54575 File No. S7-16-06 https://www.govinfo.gov/app/details/FR-2006-10-13/E6-16956 https://www.govinfo.gov/content/pkg/FR-2006-10-13/html/E6-16956.htm https://www.govinfo.gov/content/pkg/FR-2006-10-13/pdf/E6-16956.pdf Brokers Reporting and Recordkeeping Requirements Securities 9 p. 60636 60644 71 FR 60636 Title 17 Part 240 17 CFR Part 240 RIN 3235-AJ72 Amendments to Rule 15c3-1 and Rule 17a-11 Applicable to Broker-Dealers Also Registered as Futures Commission Merchants; Federal Register Vol. 71, Issue PRORULE E6-16956 III SECURITIES AND EXCHANGE COMMISSION 2006-11-13 Release No. 34-54575 File No. S7-16-06 8011-01-P E6-16956 Proposed rule.

The Securities and Exchange Commission is proposing for comment amendments to conform provisions of its net capital rule to changes to the net capital rule of the Commodity Futures Trading Commission. The proposed amendments would apply to broker-dealers also registered as futures commission merchants with the Commodity Futures Trading Commission. The Securities and Exchange Commission also is proposing to amend certain rules related to subordinated debt agreements to conform those rules to the Commodity Futures Trading Commission's amended net capital rules. Finally, the Securities and Exchange Commission is proposing to amend its early warning provisions to require that it be notified if a broker-dealer also registered as a futures commission merchant must warn the Commodity Futures Trading Commission or a designated self-regulatory organization that its adjusted net capital has fallen below specified levels.

Comments should be received on or before November 13, 2006. Michael A. Macchiaroli, Associate Director, at (202) 551-5525; Thomas K. McGowan, Assistant Director, at (202) 551-5521; or Bonnie L. Gauch, Special Counsel, at (202) 551-5524, Division of Market Regulation, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-6628. Brokers Reporting and Recordkeeping Requirements Securities Securities: Broker-dealers; net capital rule, debt agreements and financial responsibility, rule-comments@sec.gov http://www.regulations.gov http://www.sec.gov/rules/proposed.shtml Vol. 71, no. 198 Office of the Federal Register, National Archives and Records Administration 2006-10-13 continuing daily deposited born digital 253 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2006-10-13 P0b002ee1892c6bf9 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr13oc06 https://www.govinfo.gov/app/details/FR-2006-10-13 https://www.govinfo.gov/content/pkg/FR-2006-10-13/pdf/FR-2006-10-13.pdf https://www.govinfo.gov/content/pkg/FR-2006-10-13/xml/FR-2006-10-13.xml fdlp 60413 60655 DGPO 2014-05-29 2024-06-05 FR-2006-10-13 machine generated eng FR FR-2006-10-13 71 198