S.D. Admin. R. 20:08:03:04 - Net capital requirements of broker-dealers

State Regulations
Compare

A broker-dealer registered or required to be registered under SDCL chapter 47-31 B shall have and maintain an adjusted net capital in compliance with Rule 15c3-1 (17 C.F.R. § 240.15c3-1) under the Securities Exchange Act of 1934.

Notes

S.D. Admin. R. 20:08:03:04

27 SDR 5, effective July 31, 2000; 30 SDR 211, effective July 1, 2004.

General Authority: SDCL 47-31B-605(a)(1), 47-31B-605(b).

Law Implemented: SDCL 47-31B-103, 47-31B-411.

State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.

No prior version found.