Broker Dealer Solutions
 

Here is the latest collection of frequently-asked questions (FAQs)
about :

Q: What are the minimum net capital requirements?

A: SEC Rule 15c3-1 discusses the minimum net capital requirements for every broker/dealer depending on the type of business the member is engaging in. For instance, a fully disclosed introducing broker/dealer that does not receive customer funds or securities has a minimum net capital requirement of $5,000, but a fully disclosed introducing broker/dealer that does receive customer funds or securities has a minimum neet capital requirement of $50,000. The FINRA Manual has a section entitled "Securities & Exchange Act of 1934" that lists Rule 15c3-1. Refer to that link for a complete list of net capital requirements.




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