Statutes, codes, and regulations
Delaware Administrative Code
Title 6 - Attorney General's OfficeFraud and Consumer Protection DivisionInvestor Protection UnitRules Pursuant to the Delaware Securities Act
Part F - Broker-Dealers, Broker-Dealer Agents, and Issuer Agents
Section 200-F-604 - Minimum Financial Requirements and Financial Reporting Requirements of Broker-Dealers

6 Del. Admin. Code § 200-F-604

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Current through Register Vol. 28, No. 5, November 1, 2024
Section 200-F-604 - Minimum Financial Requirements and Financial Reporting Requirements of Broker-Dealers
(a) Each broker-dealer registered or required to be registered under the Act shall comply with SEC Rules 15c3-1 ( 17 C.F.R. § 240.15c3 - 1), 15c3-2 ( 17 C.F.R. § 240.15c3 - 2), and 15c3-3 ( 17 C.F.R. § 240.15c3 - 3).
(b) Each broker-dealer registered or to be registered under the Act shall comply with SEC Rule 17a-11 (17 C.F.R. § 240.17a-11) and shall file with the Director, upon request, copies of notices and reports required under SEC Rules 17a-5 (17 C.F.R. § 240.17a-5), 17a-10 (17 C.F.R. § 240.17a-10), and 17a-11 (17 C.F.R. § 240.17a-11).
(c) To the extent that the SEC promulgates changes to the above-referenced rules, broker-dealers in compliance with such rules as amended shall not be subject to enforcement action by the Unit for violation of this Rule to the extent that the violation results solely from the broker-dealer's compliance with the amended SEC rule.

6 Del. Admin. Code § 200-F-604

15 DE Reg. 529 (10/01/11)
18 DE Reg. 394 (11/1/2014) (Final)