CFR Title 17 Commodity and Securities Exchanges CH II - SECURITIES AND EXCHANGE COMMISSION, a key source on Broker-Dealer Regulatory Accounting and Reporting

CFR Title 17 - Commodity and Securities Exchanges. CH II - SECURITIES AND EXCHANGE COMMISSION (CONTINUED). PART 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934. Subpart A - Rules and Regulations Under the Securities Exchange Act of 1934. - Rules Relating to Over-The-Counter Markets..

The SEC Act 34 is the Legal home to key rules for Broker-Dealers, begining with § 240.15c1-3 Misrepresentation by brokers, dealers and municipal securities dealers as to registration. § 240.15c1-2 Fraud and misrepresentation. § 240.15c2–1 Hypothecation of customers’securities. § 240.15c3–1 Net capital requirements for brokers or dealers. § 240.15c3-2Customers' free credit balances.§ 240.15c3-3 Customer protection—reserves and custody of securities. and other important SEC Rules for Broker-Dealers.

We are here to assist you on Broker-Dealer Accounting, Regulatory Accounting, Reporting, Net Capital Analysis and Consulting, Trade and Settlement Date Accounting, Subordinated Equity, FINOP/ FOCUS Reporting and more. Where you need assistance on SEC Reporting or analysis of SEC Reporting we are interested in supporting you for Business Consulting or other needs. We have prior Business experience supporting Broker-Dealers in key roles on the Controllership end, and in managing FINRA and NYSE Audit Responses and would be happy to assist your firm. Where we are able to do so. We are also interested in supporting your FINOP / Series 27 work - but would require current sponsorship.

We are adept at applying SEC Rules in Part 240 to Broker-Dealer Accounting and Reporting Operations. We support your needs by connecting Accounting and Regulatory SEC Reporting with its Legal Basis in SEC Rules under CFR Title 17 and more. Call on dcarsoncpa.com when you require assistance, we Focus on Accounting, Tax, Regulatory and other related research for the best interests of your Compliance on GAAP / IFRS, Taxes, SEC Rules and more to assist you on your comprehensive needs for Accounting, Operations, Reporting and Compliance in Financial Services.