Examples of Net Capital Rule in a sentence
Authorized firms may include primary dealers or regional dealers that qualify under Securities & Exchange Commission Rule 15C3-1 (Uniform Net Capital Rule), and qualified depositories.
The Company is also subject to the SEC’s Uniform Net Capital Rule (Rule 15c3-1).
As a broker-dealer and member firm of the NYSE, the Company is subject to the Uniform Net Capital Rule (the “Rule”) of the Securities and Exchange Commission (“SEC”).
Qualify under Securities and Exchange Commission (SEC) Rule 15c3-1 (Uniform Net Capital Rule).
The Company is subject to the SEC Uniform Net Capital Rule 15c3-1 that requires the maintenance of minimum net capital equal to the greater of $250,000 or 6 2/3% of “Aggregate Indebtedness”, and requires that the ratio of aggregate indebtedness to net capital, both as defined, will not exceed 15 to 1.