1 Miss. Code. R. 14-5.03 - Minimum Financial Requirements and Financial Reporting Requirements of Broker-Dealers
A. Each
broker-dealer registered or required to be registered under this Act shall
comply with SEC Rules 15c3-1 (17 C.F.R. § 240.15c3-1), 15c3-2 (17 C.F.R. §
240.15c3-2), and 15c3-3 (17 C.F.R. § 240.15c-3).
B. Each broker-dealer registered or required
to be registered under this Act shall comply with SEC Rule 17a-11
(17 C.F.R. §
240.17a-11) and shall simultaneously file
with the Division copies of notices and reports required under that
rule.
C. To the extent that the SEC
promulgates changes to the above-referenced rules, dealers in compliance with
such rules as amended shall not be subject to enforcement action by the
Division for violation of this Rule to the extent that the violation results
solely from the broker-dealer's compliance with the amended rule.
Notes
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