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least 30 calendar days prior to the scheduled examination date and must ..... proprietorship broker. A special examination for an individual may also be ..... working days prior to the date of a regularly scheduled examination that he ..... (a) Scope of examination. The examination for an individual ..... importers and exporters. The examination will be prepared by Customs and
than members of a national securities exchange, every broker or dealer ..... of any member of a national securities exchange, and every broker or ..... dealer registered pursuant to section 15 of the Act; except that a broker or ..... registered as an investment company; except that a broker or dealer transacting ..... securities for his own account with or through another registered broker
within 7 business days subsequent to the examination, count, verification ..... prudential regulator and that is not also a broker or dealer, including an ..... than members of a national securities exchange; a broker or dealer who ..... national securities exchange; a broker or dealer, including an OTC derivatives ..... dealer registered pursuant to section 15F of the Act that is also a broker or
to be maintained by section 240.17h-1T. (1) Every broker or dealer ..... calendar days after the end of each fiscal quarter. The Form 17-H for the ..... fourth fiscal quarter shall be filed within 60 calendar days of the end of the ..... section 240.17h-1T may be filed separately within 105 calendar days of the end ..... provisions of this section shall not apply to any broker or dealer which is
days after the end of each month. (ii) Every broker or dealer ..... within 17 business days after the end of the fiscal year of the broker or ..... and within 17 business days after the end of the fiscal year of the broker ..... days after that time limit has expired if the broker or dealer sends them with ..... for examination at the principal office of the broker or dealer and at the
records of the member, broker or dealer subject to examination under section 17 ..... directly with others than members of a national securities exchange; a broker or ..... of a national securities exchange; a broker or dealer, including an OTC ..... . 78 o -10) that is also a broker or dealer, including an OTC derivatives ..... also a broker or dealer, including an OTC derivatives dealer, registered
directly with others than members of a national securities exchange; a broker or ..... of a national securities exchange; a broker or dealer, including an OTC ..... . 78 o -10) that is also a broker or dealer, including an OTC derivatives ..... also a broker or dealer, including an OTC derivatives dealer, registered ..... registered pursuant to section 15F of the Act that is not also a broker or
distribution for more than 45 calendar days, then the broker or dealer shall, not ..... , for more than 30 calendar days, then the broker or dealer must, not later ..... within 45 calendar days after the date of the examination, count, verification ..... (ii) The broker or dealer, at least ten days before the customer's account ..... 30 calendar days, then the broker or dealer, not later than the next
broker or dealer to use an alternative approach to computing net capital ..... destabilize the broker or dealer, or the broader financial system. The focus of ..... . Application (a) A broker or dealer may apply to the Commission ..... § 240.15c3-1(c)(2)(iv) and (c)(2)(xv)(A) and (B): (1) A broker-dealer ..... company of the broker or dealer; (ii) A comprehensive description
registered broker or dealer (including an OTC derivatives dealer) that is ..... broker or dealer that is a financial institution and that is: (1 ..... foreign bank subject to regulation, supervision, and examination by state or ..... government securities broker or dealer but is not a registered broker or ..... securities interdealer broker. (1) A government securities interdealer broker
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