Finalize steps deemed feasible and prudent and, as necessary, (a) require broker-dealers to electronically file with the Commission annual reports and risk assessment reports, and (b) raise the capital threshold for reporting under the 17-H rules.
Questioned Costs
$0
Funds for Better Use
$0
Recommendation Status
Closed
Source UUID
86c65c19-3deb-4b6e-b1fe-7ce5c70d3549-2
Recommendation Number
2
Significant Recommendation
Yes