Customer protection rule – Global Relay Intelligence & Practice

Customer protection rule

SEC

SEC adopts amendments to broker-dealer Customer Protection Rule

December 23, 2024

Certain broker-dealers must now compute customer and reserve deposit requirements, making required deposits into reserve accounts on a daily rather than weekly basis.

Julie DiMauro3 min read
SEC

SEC announces 2024 exam priorities

October 26, 2023

Guidance on where to focus when preparing for the 2024 SEC exams.

Valerie Ruppel | Bovill, Ryan Stibich | Bovill Newgate6 min read
SEC

SEC votes to amend money-market fund and BD customer protection rules

July 14, 2023

Regulator moves to increase resilience of money-market funds, but there are dissenting voices.

Julie DiMauro3 min read