SEC Seeks Public Comment on Broker-Dealer Oversight Information Collection
August 16, 2025
August 16, 2025
WASHINGTON, Aug. 16 (TNSFRinfo) -- The Securities and Exchange Commission is requesting comments on a rule that serves as a core inventory control for the financial industry. The rule, 17a-13, requires broker-dealers to conduct quarterly examinations and counts of all securities in their possession and to account for those they control but do not physically hold. Any discrepancies must be recorded within seven days.
While broker-dealers are not mandated to file a report with SEC, an . . .
While broker-dealers are not mandated to file a report with SEC, an . . .