{"abstract":"The Commission is proposing for comment 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\"). The proposed amendments would address several emerging areas of concern regarding the financial requirements for broker-dealers. They also would update the financial responsibility rules and make certain technical amendments.","action":"Proposed 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/2007/03/19/E7-4693.html","cfr_references":[{"chapter":null,"citation_url":null,"part":240,"title":17}],"citation":"72 FR 12862","comment_url":null,"comments_close_on":"2007-05-18","correction_of":null,"corrections":[],"dates":"Comments should be received on or before May 18, 2007.","disposition_notes":null,"docket_ids":["Release No. 34-55431","File No. S7-08-07"],"dockets":[],"document_number":"E7-4693","effective_on":null,"end_page":12899,"executive_order_notes":null,"executive_order_number":null,"full_text_xml_url":"https://www.federalregister.gov/documents/full_text/xml/2007/03/19/E7-4693.xml","html_url":"https://www.federalregister.gov/documents/2007/03/19/E7-4693/amendments-to-financial-responsibility-rules-for-broker-dealers","images":{},"images_metadata":{},"json_url":"https://www.federalregister.gov/api/v1/documents/E7-4693?publication_date=2007-03-19","mods_url":"https://www.govinfo.gov/metadata/granule/FR-2007-03-19/E7-4693/mods.xml","not_received_for_publication":null,"page_length":38,"page_views":{"count":671,"last_updated":"2026-08-23 18:15:06 -0400"},"pdf_url":"https://www.govinfo.gov/content/pkg/FR-2007-03-19/pdf/E7-4693.pdf","presidential_document_number":null,"proclamation_number":null,"public_inspection_pdf_url":null,"publication_date":"2007-03-19","raw_text_url":"https://www.federalregister.gov/documents/full_text/text/2007/03/19/E7-4693.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":{"checked_regulationsdotgov_at":"2011-11-12T21:20:30Z"},"regulations_dot_gov_url":null,"significant":false,"signing_date":null,"start_page":12862,"subtype":null,"title":"Amendments to Financial Responsibility Rules for Broker-Dealers","toc_doc":"Broker-dealers; financial responsibility rules","toc_subject":"Securities:","topics":["Brokers","Reporting and recordkeeping requirements","Securities"],"type":"Proposed Rule","volume":72}