least 30 calendar days prior to the scheduled examination date and must ..... business of a sole proprietorship broker. A special examination for an ..... Protection, Attn: Broker Management Branch, within 60 calendar days after the date ..... (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 ..... not apply to any broker or dealer which is exempt from the provisions of

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 ..... value at risk for the broker or dealer within 17 business days after the ..... association, such broker or dealer must, within two business days after such event ..... within 105 days after the end of the fiscal year of the broker or dealer

for more than 45 calendar days, then the broker or dealer shall, not later ..... more than 30 calendar days, then the broker or dealer must, not later than ..... calendar days after the date of the examination, count, verification and ..... customer within 10 business days after the settlement date, the broker or ..... or similar distribution for more than 45 calendar days, then the broker or

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

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

possession of the broker. (b) Examination request. Upon request by ..... (a) General. During the period of retention, the broker must ..... ) calendar days, or such longer time as specified by DHS, at the location