Rule 15c3-1f (Appendix F to Rule 15c3-1), Optional Market and Credit Risk Requirements for OTC Derivatives Dealers

Appendix F provides an alternative net capital requirement and method for determining net capital for a class of dealers active in over-the-counter markets called OTC derivatives dealers. Rule 15c3-1 is intended to ensure that broker-dealers have sufficient capital to protect the assets of customers and to meet their responsibilities to other participants in the financial markets. The rule facilitates the monitoring of the financial condition of securities broker-dealers by the Commission and the various self-regulatory organizations.

The latest form for Rule 15c3-1f (Appendix F to Rule 15c3-1), Optional Market and Credit Risk Requirements for OTC Derivatives Dealers expires 2022-07-31 and can be found here.

Rule 15c3-1f (Appendix F to Rule 15c3-1), Existing Dealer Maintenance

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight