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460-20C-110  <<  460-20C-120 >>   460-20C-130

PDFWAC 460-20C-120

Reserve and custody requirements.

If you are a broker-dealer registered or required to be registered under RCW 21.20.040, you must comply with the customer protection reserves and custody of securities requirements set forth in Securities and Exchange Commission Rule 15c3-3 (17 C.F.R. 240.15c3-3, as amended effective October 21, 2019).
[Statutory Authority: RCW 21.20.070 and 21.20.450. WSR 24-19-055, s 460-20C-120, filed 9/12/24, effective 10/13/24.]