§ 240.15c3-3b - xxx  


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  • § 240.15c3-3b xxx

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    Exhibit B - Formula for determination of security-based swap customer reserve requirements of brokers and dealers under § 240.15c3-3.

    Credits Debits
    1. Free credit balances and other credit balances in the accounts carried for security-based swap customers (See Note A)$______
    2. Monies borrowed collateralized by securities in accounts carried for security-based swap customers (See Note B)$______
    3. Monies payable against security-based swap customers' securities loaned (See Note C)$______
    4. Security-based swap customers' securities failed to receive (See Note D)$______
    5. Credit balances in firm accounts which are attributable to principal sales to security-based swap customers$______
    6. Market value of stock dividends, stock splits and similar distributions receivable outstanding over 30 calendar days$______
    7. Market value of short security count differences over 30 calendar days old$______
    8. Market value of short securities and credits (not to be offset by longs or by debits) in all suspense accounts over 30 calendar days$______
    9. Market value of securities which are in transfer in excess of 40 calendar days and have not been confirmed to be in transfer by the transfer agent or the issuer during the 40 days$______
    10. Debit balances in accounts carried for security-based swap customers, excluding unsecured accounts and accounts doubtful of collection (See Note E)$______
    11. Securities borrowed to effectuate short sales by security-based swap customers and securities borrowed to make delivery on security-based swap customers' securities failed to deliver$______
    12. Failed to deliver of security-based swap customers' securities not older than 30 calendar days$______
    13. Margin required and on deposit with the Options Clearing Corporation for all option contracts written or purchased in accounts carried for security-based swap customers (See Note F)$______
    14. Margin related to security futures products written, purchased or sold in accounts carried for security-based swap customers required and on deposit in a qualified clearing agency account at a clearing agency registered with the Commission under section 17A of the Act (15 U.S.C. 78q-1) or a derivatives clearing organization registered with the Commodity Futures Trading Commission under section 5b of the Commodity Exchange Act (7 U.S.C. 7a-1) (See Note G)$______
    15. Margin related to cleared security-based swap transactions in accounts carried for security-based swap customers required and on deposit in a qualified clearing agency account at a clearing agency registered with the Commission pursuant to section 17A of the Act (15 U.S.C. 78q-1)$______
    16. Margin related to non-cleared security-based swap transactions in accounts carried for security-based swap customers required and held in a qualified registered security-based swap dealer account at a security-based swap dealer or at a third-party custodial account$______
    Total Credits$______
    Total Debits$______
    Excess of Credits over Debits$______

    [84 FR 44050, Aug. 22, 2019

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