BD / SBSD Custody

Overview

This page provides materials as to the regulation of custody by broker-dealers and security-based swap dealers. There is also a separate page on Custody under the CEA and CFTC Rules by futures commission merchants ("FCMs"), swap dealers, retail foreign exchange dealers and leverage transaction merchants. The custodial requirement entails not only the obligation to keep securities and assets segregated, but also the related requirements to conduct periodic securities counts and verification that assets are actually within the firm's control.

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Broker-Dealer Requirements

Security-Based Swap Dealers

Government Securities Dealers

FINRA Rules and Forms

MSRB Rules