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1- 6 of 6
Search Results for:
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Ordering of Search Results
When searching across multiple libraries:
FAQs will appear in alphabetical order by category and sub-category
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Libraries:
FAQs - Market Regulation
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Filters:
All Years; Financial / Books and Records;
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Identification Number
1605
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Broker dealers are required to file annual Audited Financial Statements pursuant to Exchange Act Rule 17a-5(d).
The rule contains an annual audit filing exemption for a broker dealer that is a member of a national securities exchange, has transacted a business in securities solely with or for other members of a national securities exchange, and has not carried any margin account, credit balance or security for any person who is defined as a "customer" in paragraph (c)(4) of Rule 17a-5.
Broker dealers for which PHLX is the assigned designated examining authority may find additional guidance here.
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Publication Date*:
8/22/2019
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Identification Number:
1605
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Identification Number
1606
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Broker dealers are required to maintain all books and records as required under Securities Exchange Act Rules 17a-3 and 17a-4, and PHLX Options 6E, Section 1.
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Publication Date*:
4/28/2021
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Identification Number:
1606
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Identification Number
1607
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Capital requirements for broker dealers who are designated to PHLX may be found here.
PHLX members may reference SEC 15c3-1 and PHLX Options 6D, Section 1 and Equity 9, Section 20 for relevant rules.
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Publication Date*:
4/28/2021
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Identification Number:
1607
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Identification Number
1609
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A complete schedule of financial reporting requirements and due dates for broker dealers who are designated to PHLX can be found here.
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Publication Date*:
8/22/2019
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Identification Number:
1609
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Identification Number
1610
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Pursuant to Exchange Act Rule 17f-2, every member of a national securities exchange shall require its partners, directors, officers and employees to be fingerprinted. All fingerprints shall be submitted to the Attorney General of the United States or its designee (i.e., the Federal Bureau of Investigations). Broker dealers must retain evidence that the fingerprints have been taken and submitted for each individual. Securities Exchange Act Rule 17f-2 allows for certain exemptions from fingerprinting but those exemptions are limited.
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Publication Date*:
8/22/2019
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Identification Number:
1610
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Identification Number
1611
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Yes. Pursuant to SIPC Act of 1970 Section 78ccc (a)(2), all registered broker dealers must become members of the Securities Investor Protection Corporation ("SIPC"). Beginning April 1, 2009, all PHLX DEA Member Firms are required to file SIPC-6 and SIPC-7T Forms and the corresponding payment, which is .0025 of the Member Firm's net operating revenue as computed on both SIPC-6 and SIPC-7T Forms. SIPC-6 Form and assessment payment is due no later than 30 days after the end of the first six months of the fiscal year; SIPC-7T Form and assessment payment is due no later than 60 days after the end of the fiscal year, or after membership termination. The SIPC Forms and assessments should be forwarded to the main office of SIPC in Washington, D.C. For more details, please refer to www.sipc.org.
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Publication Date*:
8/22/2019
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Identification Number:
1611
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