{"abstract":"The Securities and Exchange Commission (\"Commission\") is adopting amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers promulgated under the Securities Exchange Act of 1934 (\"Exchange Act\"). These amendments are designed to address several areas of concern regarding the financial responsibility requirements for broker-dealers. The amendments also update certain financial responsibility requirements and make certain technical amendments.","action":"Final rule.","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"body_html_url":"https://www.federalregister.gov/documents/full_text/html/2013/08/21/2013-18734.html","cfr_references":[{"chapter":null,"citation_url":null,"part":240,"title":17}],"citation":"78 FR 51824","comment_url":null,"comments_close_on":null,"correction_of":null,"corrections":[],"dates":"Effective Date: October 21, 2013.","disposition_notes":null,"docket_ids":["Release No. 34-70072","File No. S7-08-07"],"dockets":[],"document_number":"2013-18734","effective_on":"2013-10-21","end_page":51907,"executive_order_notes":null,"executive_order_number":null,"full_text_xml_url":"https://www.federalregister.gov/documents/full_text/xml/2013/08/21/2013-18734.xml","html_url":"https://www.federalregister.gov/documents/2013/08/21/2013-18734/financial-responsibility-rules-for-broker-dealers","images":{},"images_metadata":{},"json_url":"https://www.federalregister.gov/api/v1/documents/2013-18734?publication_date=2013-08-21","mods_url":"https://www.govinfo.gov/metadata/granule/FR-2013-08-21/2013-18734/mods.xml","not_received_for_publication":null,"page_length":84,"page_views":{"count":3335,"last_updated":"2026-07-26 12:15:03 -0400"},"pdf_url":"https://www.govinfo.gov/content/pkg/FR-2013-08-21/pdf/2013-18734.pdf","presidential_document_number":null,"proclamation_number":null,"public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2013-18734.pdf?1377003373","publication_date":"2013-08-21","raw_text_url":"https://www.federalregister.gov/documents/full_text/text/2013/08/21/2013-18734.txt","regulation_id_number_info":{"3235-AJ85":{"issue":"201304","html_url":"https://www.federalregister.gov/regulations/3235-AJ85/amendments-to-financial-responsibility-rules-for-broker-dealers","title":"Amendments to Financial Responsibility Rules for Broker-Dealers","xml_url":"http://www.reginfo.gov/public/do/eAgendaViewRule?pubId=201304&RIN=3235-AJ85&operation=OPERATION_EXPORT_XML","priority_category":"Substantive, Nonsignificant"}},"regulation_id_numbers":["3235-AJ85"],"regulations_dot_gov_info":{"supporting_documents":[],"regulatory_plan":{"html_url":"https://www.federalregister.gov/regulations/3235-AJ85/amendments-to-financial-responsibility-rules-for-broker-dealers","title":"Amendments to Financial Responsibility Rules for Broker-Dealers"},"comments_url":"https://www.regulations.gov/docketBrowser?rpp=50&so=DESC&sb=postedDate&po=0&dct=PS&D=SEC-2013-1497","supporting_documents_count":0,"docket_id":"SEC-2013-1497","regulation_id_number":"3235-AJ85","title":"Financial Responsibility Rules for Broker-Dealers","checked_regulationsdotgov_at":"2013-09-10T08:08:35Z"},"regulations_dot_gov_url":null,"significant":false,"signing_date":null,"start_page":51824,"subtype":null,"title":"Financial Responsibility Rules for Broker-Dealers","toc_doc":"Financial Responsibility Rules for Broker-Dealers","toc_subject":null,"topics":["Brokers","Reporting and recordkeeping requirements","Securities"],"type":"Rule","volume":78}