(section 92) Net Liquid Capital (section 97) Capital Reduction (section 98(1)) Anti-fraud Provisions (section 98(3)) Forward Transactions/OTC Equity Derivatives Transactions (section 98(4)) Proprietary
the securities company start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange
) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange Commission governing the maintenance of financial status of a licensed securities company; (2
derivatives broker start-up an operation, it meets the following qualifications; (1) maintain a net liquid capital according to rules prescribed by the notification of the Securities and Exchange Commission