BD / FCM Risk Assessment Rules


This page provides materials on obligation that broker-dealers and FCMs have to file "risk assessment reports" as to their "material associated persons." The reports are intended to enable the regulators to determine whether the broker-dealer or FCM will be at risk in the event that one of its affiliates fails. (Note the term "Risk Assessment," as used on the Cabinet, refers only to those reports that SEC and CFTC registrants are required to fled regarding their material associated persons. A separate term, Risk Management," is used to refer to documents that relate generally to the determination and control of risk.)'s picture
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SEA and SEC Rules for Broker-Dealers

SEC Forms

GSA Statutory Provision and Rules

SEA Section 15C(b)(2) (Statutory authority as to government securities broker-dealers

GSA Rule 404.2 (Recordkeeping by government securities broker-dealers)

GSA Rule 405.5 (Reporting by government securities broker-dealers)

Regulatory Assistance

Other Materials