SEC Renews Broker Capital Requirements Collection
Published Date: 6/4/2026
Notice
Summary
The SEC is asking to keep the rules that make sure brokers have enough money to pay their customers. This affects all brokers and dealers, who spend lots of time and money following these rules. You can share your thoughts by July 6, 2026, before the rules get extended without changes.
Analyzed Economic Effects
2 provisions identified: 1 benefits, 1 costs, 0 mixed.
Broker-Dealer Compliance Burden
If you run a broker-dealer, Rule 15c3-1 requires you to maintain sufficient liquid assets to meet current liabilities, especially customer claims. The SEC estimates affected broker-dealers incur an aggregate annual time burden of about 67,773 hours and an aggregate annual cost burden of about $133,867; compliance is mandatory and the collection is being extended (comments due July 6, 2026).
Customer Protection Via Liquidity Rule
If you are a customer of a broker-dealer, Rule 15c3-1 requires broker-dealers to hold sufficient liquid assets to meet current liabilities, particularly customer claims, which helps ensure your claims can be paid. The rule's information collection extension is under review and the SEC is accepting comments through July 6, 2026.
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Previous / Next Documents
Previous: 2026-11208 — Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 203-2 & Form ADV-W
The SEC is asking to keep the rules that require investment advisers to tell them when they stop being registered by filing Form ADV-W. This affects all advisers registered or applying with the SEC and takes about 15 to 45 minutes to complete. No big changes or costs, just a smooth extension to keep things running on time.
Next: 2026-11210 — Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c2-11
The SEC is asking to keep collecting info under Rule 15c2-11, which helps stop shady trading of over-the-counter (OTC) stocks by making sure broker-dealers check important company info before sharing stock prices. This affects about 196 broker-dealers and a few other market groups, with over 1.7 million hours spent yearly on these checks. No big changes or new costs are planned, and the public had a chance to comment before the extension.