PURPOSE: This rule requires broker-dealers
to furnish the commissioner notice of impending net capital deficiency, and
announces the commissioner, once a year and without prior notice, may require
all registered broker-dealers to furnish a net capital
report.
(1)
Broker-dealers registered or required to be registered under the Missouri
Securities Act of 2003 (the Act) whose net capital at any time is less than the
minimum required by rule 15c3-1 under the Securities Exchange Act of 1934 shall
give notice and file such reports with the commissioner as are required to be
given and filed with the Securities and Exchange Commission (SEC) under rule
17a-11 of the Securities Exchange Act of 1934.
Notes
15 CSR 30-51.060
AUTHORITY:
sections 409.4-411(a) and
(b) and
409.6-605,,
RSMo Supp. 2003.* Original rule filed June 25, 1968, effective Aug. 1, 1968.
Amended: Filed May 21, 1969, effective Aug. 1, 1969. Amended: Filed July 21,
1972, effective Aug. 1, 1972. Amended: Filed Nov. 15, 1974, effective Nov. 25,
1974. Amended: Filed Aug. 11, 1978, effective Feb. 11, 1979. Emergency
amendment filed Aug. 27, 2003, effective Sept. 12, 2003, expired March 9, 2004.
Amended: Filed Aug. 28, 2003, effective Feb. 29,
2004.
AUTHORITY: sections
409.4-411(a) and
(b) and
409.6-605,,
RSMo Supp. 2003.* Original rule filed June 25, 1968, effective Aug. 1, 1968.
Amended: Filed May 21, 1969, effective Aug. 1, 1969. Amended: Filed July 21,
1972, effective Aug. 1, 1972. Amended: Filed Nov. 15, 1974, effective Nov. 25,
1974. Amended: Filed Aug. 11, 1978, effective Feb. 11, 1979. Emergency
amendment filed Aug. 27, 2003, effective Sept. 12, 2003. expired March 9, 2004.
Amended: Filed Aug. 28, 2003, effective Feb. 29, 2004.
