BD / FCM Risk Assessment Rules

Overview

This page provides materials as to the 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.

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Steven Lofchie
Contributor Organization 
Cadwalader, Wickersham & Taft LLP
Contributor Title 
Partner
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Nihal Patel
Contributor Organization 
Cadwalader, Wickersham & Taft LLP
Contributor Title 
Associate
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Maurine Bartlett
Contributor Organization 
Cadwalader, Wickersham & Taft LLP
Contributor Title 
Senior Counsel

Find

 
Find: 

Principal Statutory Provision and Underlying Rules

Developments

Forms

Regulatory Materials

 

Know

 
Know: 

Lofchie's Guide to BD Regulation

 

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