Rule 15c3-1 definition

Rule 15c3-1 means Rule 15c3-1 of the General Rules and Regulations promulgated by the SEC under the Exchange Act (17 CFR 240, 15c3-1), as from time to time amended, modified or supplemented, or such other rule or regulation of the SEC which replaces Rule 15c3-1.
Sample 1Sample 2Sample 3
Rule 15c3-1. Rule 15c3-1 of the General Rules and Regulations as promulgated by the Securities and Exchange Commission under the Securities and Exchange Act of 1934, as amended (17 CFR 240.15c3-1), as such Rule may be amended from time to time, or any rule or regulation which replaces Rule 15c3-1.
Sample 1Sample 2
Rule 15c3-1 means 17 C.F.R. 240.15c3-1 as amended from time to time, and any successor rule or regulation of the SEC regulating the same subject matter.
Sample 1

Examples of Rule 15c3-1 in a sentence

  • You represent that you, and we represent that we, are in compliance with the capital requirements of Rule 15c-3-1 promulgated by the Commission under the Securities and Exchange Act of 1934, and we may, in accordance with and pursuant to such Rule 15c-3-1, agree to purchase the amount of Units to be purchased by you and us, respectively, under the Agreement.

  • If SIPC determines that we are unable to meet our obligations to our customers or if our liabilities exceed our assets in violation of Securities Exchange Act Rule 15c3-1, SIPC may seek to appoint a trustee to disburse our assets to customers.

  • Each Member subject to Exchange Act Rule 15c3-1 shall designate a Financial/Operations Principal.

  • These institutions may include "primary" dealers or regional dealers that qualify under Securities and Exchange Commission (SEC) Rule 15c3-1 (uniform net capital rule).

  • We also represent that the incurrence by us of our obligations hereunder in connection with the offering of Securities will not place us in violation of Rule 15c3-1 (or any successor provision) under the 1934 Act, if such requirements are applicable to us, or the capital requirements of any other regulator to which we are subject.

  • Each Member subject to Exchange Act Rule 15c3-1 shall designate a Financial and Operations Principal (“FINOP”).

  • Without limiting the foregoing, (a) we agree that, at all times since we were invited to participate in an Offering of Securities, we have complied with the provisions of Regulation M applicable to such Offering, in each case after giving effect to any applicable exemptions and (b) we represent that our incurrence of obligations hereunder in connection with any Offering of Securities will not result in the violation by us of Rule 15c3-1 under the Exchange Act, if such requirements are applicable to us.

  • Rules: FINRA Rule 4370(a); Securities Exchange Act Rule 15c3-1; see also 15 U.S.C. § 78eee.

  • Each Market Maker must have and maintain minimum net capital of at least the amount required under Rule 15c3-1 of the Exchange Act.

  • The Company is also subject to the SEC’s Uniform Net Capital Rule (Rule 15c3-1).


More Definitions of Rule 15c3-1

Rule 15c3-1 means Rule 15c3-1 under the Exchange Act (or any successor provision).
Sample 1
Rule 15c3-1 means Rule 15c3-1 of the General Rules and Regulations governing net capital requirements for brokers or dealers as promulgated by the Commission under the Exchange Act, as such rule may be amended from time to time, or any rule or regulation of the Commission which replaces Rule 15c3-1.
Sample 1
Rule 15c3-1. Rule 15c3-1 of the General Rules and Regulations as ----------- promulgated by the SEC (17 CFR 240. 15c3-1), as such Rule may be amended from time to time, or any rule or regulation of the SEC which replaces such Rule.
Sample 1
Rule 15c3-1 means Rule 15c3-1 under the Exchange Act (or any successor rule).
Sample 1
Rule 15c3-1 means Rule 15c3-1 of the General Rules and Regulations promulgated by the SEC under the Exchange Act (17 CFR 240,
Sample 1

Related to Rule 15c3-1

  • Rule 15c2-12 means Rule 15c2-12 under the Securities Exchange Act of 1934, as amended through the date of this Undertaking, including any official interpretations thereof.

  • Rule 159A “Rule 405” and “Rule 415” mean, in each case, such rule promulgated under the Securities Act (or any successor provision), as the same shall be amended from time to time.

  • Rule 173 “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 158 “Rule 163”, “Rule 164”, “Rule 172”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 164 “Rule 172”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 497 refers to Rule 497(c) or 497(h) under the Act, as applicable.

  • Rule 17f-7 means Rule 17f-7 promulgated under the 1940 Act.

  • SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934.

  • Rule 163 “Rule 164”, “Rule 172”, “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Rule 17f-5 means Rule 17f-5 promulgated under the 1940 Act.

  • SEC Rule 144 means Rule 144 promulgated by the SEC under the Securities Act.

  • Rule 144(k) Period means the period of two years (or such shorter period as may hereafter be referred to in Rule 144(k) under the Securities Act (or similar successor rule)) commencing on the Issue Date.

  • 1933 Act Regulations means the rules and regulations of the Commission under the 1933 Act.

  • Rule 3a-5 means Rule 3a-5 under the Investment Company Act.

  • Rule 3a-7 means Rule 3a-7 under the Investment Company Act.

  • Exchange Act Regulations means the General Rules and Regulations under the Exchange Act.

  • Rule 433 and “Rule 462” refer to such rules under the Act.

  • Rule 144 means Rule 144 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same effect as such Rule.

  • Rule 424 means Rule 424 promulgated by the Commission pursuant to the Securities Act, as such Rule may be amended or interpreted from time to time, or any similar rule or regulation hereafter adopted by the Commission having substantially the same purpose and effect as such Rule.

  • Securities Exchange Act of 1934 means the United States Securities Exchange Act of 1934, as from time to time amended.

  • Rule 17g-5 Rule 17g-5 under the Exchange Act.

  • Exchange Act means the Securities Exchange Act of 1934, as amended.

  • Rule 144A means Rule 144A promulgated under the Securities Act.

  • 1934 Act Regulations means the rules and regulations of the Commission under the 1934 Act.

  • Securities Act means the Securities Act of 1933, as amended.

  • 1934 Exchange Act means the Securities Exchange Act of 1934 of the United States, as amended, and the rules and regulations thereunder as now in effect or as the same may from time to time be amended, re-enacted or replaced;