Minimum Financial Requirements and Financial Reporting Requirements of Broker-

Minimum Financial Requirements and Financial Reporting Requirements of Broker- Dealers. A. Each broker-dealer registered or required to be registered under this Act shall comply with SEC Rules 15c3-1 (17 C.F.R. § 240.15c3-1), 15c3-2 (17 C.F.R. § 240.15c3-2), and 15c3-3 (17 C.F.R. § 240.15c-3). B. Each broker-dealer registered or required to be registered under this Act shall comply with SEC Rule 17a-11 (17 C.F.R. § 240.17a-11) and shall simultaneously file with the Division copies of notices and reports required under that rule. C. To the extent that the SEC promulgates changes to the above-referenced rules, dealers in compliance with such rules as amended shall not be subject to enforcement action by the Division for violation of this Rule to the extent that the violation results solely from the broker-dealer’s compliance with the amended rule.