(a) When necessary for the protection of investors or in the public interest, FINRA may, at any time or from time to time with respect to a particular carrying or clearing member or all carrying or clearing members, pursuant to authority exercised by FINRA's Executive Vice President charged with oversight for financial responsibility, or his or her written officer delegate, prescribe greater
Net Capital
Liquidity Management
Credit Risk Management
Segregation of Assets and Customer Protection
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Net CapitalLiquidity Risk ManagementCredit Risk ManagementPortfolio Margin and Intraday TradingSegregation of Assets and Customer ProtectionPrevious:Market Access RuleUp:Financial ManagementNext:Net Capital
Net Capital
Liquidity Risk Management
Credit Risk Management
Segregation of Assets and Customer Protection
Portfolio Margin and Intraday Trading NEW FOR 2022
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Regulatory Obligations
Exchange Act Rule 15c3-1 (Net Capital Rule) requires firms to maintain net capital at specific levels to protect customers and creditors from monetary losses that can occur when firms fail.
Noteworthy Examination Findings
FINRA has continued to identify some of the same concerns noted in the Net Capital and Credit Risk Assessments section of the 2017 Report and Accuracy
Net Capital
Liquidity Risk Management
Credit Risk Management
Portfolio Margin and Intraday Trading
Segregation of Assets and Customer Protection
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Robert L.D. Colby's Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
By Jason Foye, Chief of FINRA’s Crypto Hub
FINRA’s core mission is to protect investors and promote market integrity. This mission is at the heart of everything we do. An important example of this mission in action is our work to address the unique regulatory challenges presented by the activities of our member firms that relate to crypto assets—also known as digital assets—which are assets
