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  • Compiled: June 1, 2012 List Of Dealers Total: 677 Dealer Name ... - In

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2 1200370 0410930 0901055 0411492 0411548 1100618 1100262 1200052 1101359 0801246 0900337 0900434 0410822 0411421 0410889 0411500 0900336 0410912 Dealer Name 135 AUTO PARTS 2020 IMPORT AUTO PARTS INC 2ND CHANCE VEHICLES IN DEMAND LLC 3 RIVERS METAL RECYCLING LLC 5 C AUTO A & E SALVAGE AND RECYCLING A & E SALVAGE AND RECYCLING A & L AUTO RECYCLING INC A & L AUTO RECYCLING INC A & M AUTO SALES A 1 QUALITY AUTO SALES A 1 USED CARS A&M STORAGE AND TOWING A-1 AUTO PARTS A-1 AUTO PARTS DIV OF H & R A.

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Related content

Final Rule: Further Definition of “Swap...
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Federal Register/Vol. 77, No. 33/Friday, February...
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a highly leveraged financial entity that is not subject to regulatory capital requirements and that maintains a substantial position in outstanding swaps in any major swap category (without regard to whether such positions are held for hedging or mitigating commercial risk purposes).

What is Footnote 74? If a firm qualifies for footnote 74, they would be eligible to file an Exemption Report instead of a Compliance Report and can be classified as a Non-Covered Firm.

Definition of “Swap Dealer” makes a market in swaps, iii. regularly enters into swaps with counterparties as an ordinary course of business for its own account, or iv. engages in activity causing itself to be commonly known in the trade as a dealer or market maker in swaps.

The guidance of SEC Footnote 74 refers to such broker-dealers as Non-Covered Firms. Non-Covered Firms who only capture in Non-Covered Firm activities are no longer characterized as cleared under Rule 15c3-3(k) and thus no longer subject to Rule 15c3-3 requirements, stated to this footnote.

17a-5(e)(1)(ii) A broker or dealer that files an annual report under paragraph (d) of this section that is not covered by a report prepared by an independent public accountant must include in the oath or affirmation required by paragraph (e)(2) of this section a statement of the facts and circumstances relied upon as a ...

The amendments to Rule 17a-4 add an audit-trail alternative to the WORM requirement. Under the audit-trail alternative, a broker-dealer must use an electronic recordkeeping system that maintains and preserves electronic records in a manner that permits the recreation of an original record if it is modified or deleted.

Footnote 78 of the 2013 Release adopting amendments to Rule 17a-5 states: “Broker-dealers with extremely limited custodial activities (e.g., holding customer checks made out to a third party for limited periods of time) could seek relief from the Commission from the requirement to file the compliance report and report ...

Footnote 74 of the 2013 Release adopting amendments to Rule 17a-5 states: “There may be circumstances in which a broker-dealer has not held customer securities or funds during the fiscal year, but does not fit into one of the exemptive provisions [for Rule 15c3-3] listed under Item 24 of Part IIA [of the FOCUS Report].

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232