provisions, conditions, and procedures to protect the investors or to ensure the clarity and uniformity in operating standards in the following matters : 1) The sale, redemption, an increase or reduction of
company, to make it clear that an outside person who does not have access to internal information will make the purchase order. EJIP accounts must be separated from personal accounts for clarity and
) 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