BASEL STANDARDS

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                    [ArticleID] => 264442
                    [Title] => SEC seeks public views on broker-dealer rules
                    [Summary] => The Securities and Exchange Commission is seeking comments from the public for its proposed guidelines on the adoption of risk-based capital adequacy (RBCA) standards for broker-dealers.


The SEC has given broker dealers and other concerned parties until Sept. 24 to submit their comments.


RBCA,  as defined under rule 28.1 of the Securities Regulation Code, refers to the minimum levels of capital that have to be maintained by broker-dealers, taking into consideration the firm’s size, complexity and business risk. 


                    [DatePublished] => 2004-09-12 00:00:00
                    [ColumnID] => 133272
                    [Focus] => 0
                    [AuthorID] => 1804021
                    [AuthorName] => Zinnia B. Dela Peña
                    [SectionName] => Business
                    [SectionUrl] => business
                    [URL] => 
                )

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abtest

SEC seeks public views on broker-dealer rules

By Zinnia B. Dela Peña | September 12, 2004 - 12:00am

The Securities and Exchange Commission is seeking comments from the public for its proposed guidelines on the adoption of risk-based capital adequacy (RBCA) standards for broker-dealers. The SEC has given broker...

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