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Under SEC rules, a registered broker-dealer must report to its customers its financial condition, including which of the following?
I. Inventory positions
II. Statement of subordinated loans
III. Statement of net capital
IV. Unconsolidated balance sheet
The broker-dealer report must show the balance sheet, subordinated loan, a statement of net capital and a statement of aggregated indebtedness. Inventory positions need not be disclosed and usually are kept secret within the firm.
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Under SEC rules, a registered broker-dealer must report to its customers its financial condition, including which of the following?
I. Inventory positions
II. Statement of subordinated loans
III. Statement of net capital
IV. Unconsolidated balance sheet
I. Inventory positions
II. Statement of subordinated loans
III. Statement of net capital
IV. Unconsolidated balance sheet
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