In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 9/30/12) →

The SIFMA 2012 Annual Meeting is located at the New York Marriott Marquis, New York, NY. For more information on the conference please click on Conference Information.