-
$100
maximum allowable amount in gifts to employees of member firms
-
$250
donations under G-37
-
$1000
Net Capital requirement for each security <$5
-
$2000
Minimum deposit in new margin account (100% of trans, whichever is less)
-
$2500
- net Cap requirement for each security >$5
- Fine for minor rule violation (COP)
-
$5000
- Net Cap requirement: fully disclosed (IB) B/D (non-securities/cash) mutual fund B/D by application
- SARs not filed???
-
$10,000
Reporting requirement for AML
-
$25,000
- Net Cap requirement MF B/D by wire order
- Simplified Arbitration settlement
- Minimum equity for pattern day traders
-
$100,000
Minimum net cap for MMs
-
$200,000
Annual income for accredited investors ($300k for joint acct) (Reg D)
-
$500,000
Maximum SIPC cover per customer
-
1 million
- Net worth requirement for accredited investors (Reg D)
- Maximum net cap requirement for MMs
-
$1.5 million
- Maximum amount of resale under Reg A
- Net Cap for prime B/D
-
$5 million
Maximum offering under Reg A
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