17 CFR 402.2e - Appendix E

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§ 402.2e Appendix E—Temporary minimum requirements.
(a) A government securities broker or dealer that falls within the provisions of paragraph (b)(1) of § 402.2 shall maintain not less than the greater of:
(1) The amount of liquid capital required under paragraph (a) of § 402.2; or
(2) The amount of liquid capital, after deducting total haircuts, of:
(i) $25,000 through June 30, 1995;
(ii) $100,000 from July 1, 1995 through December 31, 1995;
(iii) $175,000 from January 1, 1996 through June 30, 1996; and
(iv) $250,000 from July 1, 1996 and thereafter.
(b) A government securities broker or dealer that falls within the provisions of paragraph (b)(2) of § 402.2 shall maintain not less than the greater of:
(1) The amount of liquid capital required under paragraph (a) of § 402.2; or
(2) The amount of liquid capital, after deducting total haircuts, of:
(i) $25,000 through June 30, 1995;
(ii) $50,000 from July 1, 1995 through December 31, 1995;
(iii) $75,000 from January 1, 1996 through June 30, 1996; and
(iv) $100,000 from July 1, 1996 and thereafter.
(c) A government securities broker that falls within the provisions of paragraph (c)(1) of § 402.2 shall maintain not less than the greater of:
(1) The amount of liquid capital required under paragraph (a) of § 402.2; or
(2) The amount of liquid capital, after deducting total haircuts, of:
(i) $5,000 through June 30, 1995;
(ii) $20,000 from July 1, 1995 through December 31, 1995;
(iii) $35,000 from January 1, 1996 through June 30, 1996; and
(iv) $50,000 from July 1, 1996 and thereafter.
(d) A government securities broker that falls within the provisions of paragraph (c)(2) of § 402.2 shall maintain not less than the greater of:
(1) The amount of liquid capital required under paragraph (a) of § 402.2; or
(2) The amount of liquid capital, after deducting total haircuts, of:
(i) $5,000 through June 30, 1995;
(ii) $11,000 from July 1, 1995 through December 31, 1995;
(iii) $18,000 from January 1, 1996 through June 30, 1996; and
(iv) $25,000 from July 1, 1996 and thereafter.
[60 FR 11026, Mar. 1, 1995; 60 FR 12825, Mar. 8, 1995]

Title 17 published on 2013-04-01

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United States Code
U.S. Code: Title 15 - COMMERCE AND TRADE
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