3.1: Financial Practices

Clearing organizations and firms holding customer funds have sound financial practices.

Other Information:

Business Process: 1. Conduct financial surveillance 2. Provide guidance, advice, and regulate business, financial, and sales practices 3. Review self-regulatory organization enforcement 4. Investigate violations 5. File and prosecute cases 6. Take appropriate remedial or punitive action

Indicator(s):

Indicator:1

Content