e-service Online Submission See canceled document Derivatives Agent >> Net Liquid Capital Rule (Section 49) Type Title Section See Document Status Notified Date Effective Date 1. Circular SEC
e-service Online Submission See canceled document Business Operation Rules >> Net Liquid Capital Rule (Section 97) Type Title Section See Document Status Notified Date Effective Date 1. Act
e-service Online Submission See canceled document Derivatives Dealer >> Net Liquid Capital Rule (Section 49) Type Title Section See Document Status Notified Date Effective Date 1. Notification of
(section 14 and 19) |- Major Shareholders |- Branch Office |- Net Liquid Capital (section 97) |- Capital Reduction |- Anti-fraud Provisions (section 98(3)) |- Forward Transactions/OTC Equity Derivatives
) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS operating securities business | - |- Registration |- Paid up Capital |- Fees |- Net Liquid Capital Rule
) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives
| - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities Allocation (Section 81) Business Operation Rules |- Net Liquid Capital Rule
(Section 98(3)) Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major Shareholders | - |- Approval