FINRA recently notified member firms1 that the staff of the SEC’s Division of Trading and Markets (the “SEC staff”) will allow an optional one-day extension—around the December 2012 month-end holidays—for firms to make reserve deposits as may be required pursuant to Rule 15c3-3(e) under the Securities Exchange Act of 1934.
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RegisterSec issues relief relating to reserve formula computations and deposits around december 2012 month-end holidays
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USA
December 17 2012
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Jennifer Miller
Senior Legal Counsel, Bankwest Business
Bank of Western Australia Ltd
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