Broker-Dealer Requirements

• SEA Rule 3a40-1 ("Financial responsibility rules" defined)
• SEA Section 15(c) (SEC authority)
  • SEA Rule 15c3-3 ("Customer protection" rule)
  • SEA Rule 15c3-3a (Reserve formula)
• SEA Section 8 (Securities borrowings)
  • SEA Rule 8c-1 (Hypothecation)
• SEA Section 17 (Records and reports)
  • SEA Rule 17a-11 (Early warning requirements)
  • SEA Rule 17a-13 (Quarterly securities counts)
  • SEA Rule 17f-1 (Missing securities)

Security-Based Swap Dealers

• SEA Section 3E (Segregation of assets)
  • SEA Rule 18a-4 (Custody)
  • SEA Rule 18a-7 (Financial reporting)
  • SEA Rule 18a-8 (Early warning)
  • SEA Rule 18a-9 (Securities counts)

Government Securities Dealers

• SEA Section 15C(b)(1) (Treasury authority)
  • GSA Rules Part 403 (Custody)
  • GSA Rule 404.5 (Quarterly securities counts)
  • GSA Rules Part 450 (Custodial holdings)

FINRA Rules and Forms

• FINRA Rule 416 (Verification of assets for CABs)
• FINRA Rule 4000 (Financial and operational rules)   FINRA Rule 4120 (Early warning)
  FINRA Rule 4130 (Early warning for government securities firms)
  FINRA Rule 4140 (Audit)
  FINRA Rule 4160 (Verification of assets)
  FINRA Rule 4311 (Introducing clearing)
  FINRA Rule 4314 (Securities borrowings)
  FINRA Rule 4320 (Extension requests)
  FINRA Rule 4330 (Use of customer securities)
  FINRA Rule 4520 (Financial records)
  FINRA Rule 4521 (Notification)
  FINRA Rule 4522 (Securities counts)

• Form Custody FINRA Page

MSRB Rules

• MSRB Rule G-25 (Use of custodial assets)