SEC approves alternative method of capital measurements for broker-dealers

The Rule on Alternative Net Capital Requirements for Broker-Dealers that are part of consolidated supervised entities stipulates that, to use the provision, a broker-dealer must be part of a holding company that has a group-wide internal risk management control system. The holding companies must also consent to group-wide Commission supervision.

The holding companies are also required to comply with stringent rules regarding its internal risk management control system, and would make periodic

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