Securities and Exchange Commission May 23, 2007 – Federal Register Recent Federal Regulation Documents

Amendments to Financial Responsibility Rules for Broker-Dealers
Document Number: E7-9833
Type: Proposed Rule
Date: 2007-05-23
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is extending the comment period for a release proposing amendments to its net capital, customer protection, books and records, and notification rules for broker-dealers under the Securities Exchange Act of 1934 (``Exchange Act''), which was issued by the Commission on March 9, 2007 (Exchange Act Release No. 55431, 72 FR 12862 (Mar. 19, 2007)). The original comment period for Release No. 34-55431 is scheduled to end on May 18, 2007. The Commission is extending the time period in which to provide the Commission with comments on the proposed amendments described in Release No. 34-55431 for thirty-one days until Monday, June 18, 2007. This action will allow all interested persons additional time to analyze the issues and prepare their comments.