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Keywords: Customer Protection Rule
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Journal Articles
SEC guidance on broker-dealer custody of digital asset securities
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2021) 22 (2): 189–194.
Published: 18 June 2021
... of the Customer Protection Rule; seven minimum steps that broker-dealers can take and nine terms and conditions with which they can comply to protect against SEC enforcement action; and the SEC’s request for comment in response to its position statement. Findings A broker-dealer operating pursuant...
Journal Articles
Are your customer accounts in order? – SEC announces sweep of broker-dealers and implementation of the customer protection rule initiative
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (1): 68–74.
Published: 02 May 2017
...Melissa Beck Mitchum; Bob Xiong Purpose To explain the Customer Protection Rule Initiative announced by the Securities and Exchange Commission (SEC) and offer practical guidance for complying with Rule 15c3-3 under the Securities Exchange Act of 1934. Design/methodology/approach This article...
