) specified by the regulation. Net Capital Rule (NCR) The SEC applies the " net capital rule ( NCR )" approach, where securities and derivatives businesses are required to maintain “ net capital ( NC
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the last day of serving the previous audit firm. 6. Termination of Approval auditor notifies the SEC of the intention to terminate from an SEC approved auditor, auditor cannot maintain the
of Approval auditor notifies the SEC of the intention to terminate from an SEC approved auditor, auditor cannot maintain the qualifications, or approval is revoked or suspended for the remaining
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