Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Rule 3a40-1 -- Designation of Financial Responsibility Rules

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1. Any rule adopted by the Commission pursuant to sections 8, 15(c)(3), 17(a) or 17(e)1(A) of the Securities Exchange Act of 1934;
   
   
2. Any rule adopted by the Commission relating to hypothecation or lending of customer securities;
   
   
3. Any rule adopted by any self-regulatory organization relating to capital, margin, recordkeeping, hypothecation or lending requirements; and
   
   
4. Any other rule adopted by the Commission or any self-regulatory organization relating to the protection of funds or securities.

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