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Broker/Dealer Accounting & FINOP Matters
Hello and welcome to Broker/Dealer & FINOP Matters!
This group is dedicated to discussing matters relating to securities broker/dealers with a particular focus on Series 27 Financial Operations Principals ("FINOP's"), Net Capital, FOCUS and other broker/dealer SEC filing matters.
FINRA Rule 4110 - Capital Compliance
Posted Fri, 03/19/2010 - 5:46am by Steven Singer (Outsourced CFO/FINOP)
http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=11997&element_id=8769&highlight=4110#r11997
Please note that effective February 8, 2010, FINRA Rule 4110, Capital Compliance is in effect. This supercedes the previous rule which allowed for up to $500,000 capital withdrawal without notification to FINRA. Now any cap withdrawal over 10% of excess net capital must get FINRA approval to withdraw such capital.
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