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Monday, April 19, 2021 2:51:02 PM
operating programs in which they borrow fully paid and excess margin securities
from their customers (“FPL Programs”). As discussed below, the staff of the Division
of Trading and Markets (“Division staff”) believes that some of these programs do
not comply with the requirements of the broker-dealer customer protection rule
(“Rule 15c3-3”).1 The staff also believes it would be appropriate to provide a limited
amount of time for broker-dealers to come into compliance with Rule 15c3-3 which
would allow them to adjust or wind down such FPL Programs in an orderly manner.
Consequently, the Division staff will not recommend enforcement action to the
Commission if a broker-dealer operating a FPL Program that does not comply with
Rule 15c3-3 for the reasons discussed below comes into compliance with the rule as
soon as practicable but no later than six months from the date of this letter: April
22, 2021.
Recent FCEL News
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- Form 10-Q - Quarterly report [Sections 13 or 15(d)] • Edgar (US Regulatory) • 06/10/2024 11:40:39 AM
- Form 8-K - Current report • Edgar (US Regulatory) • 06/10/2024 11:35:16 AM
- FuelCell Energy Reports Second Quarter of Fiscal 2024 Results • GlobeNewswire Inc. • 06/10/2024 11:30:00 AM
- US Index Futures Drop Ahead of FOMC Decision, Oil Prices Inch Up • IH Market News • 06/10/2024 11:23:30 AM
- Form 8-K - Current report • Edgar (US Regulatory) • 06/06/2024 08:05:38 PM
- Form SD - Specialized disclosure report • Edgar (US Regulatory) • 05/30/2024 08:15:08 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 05/28/2024 08:15:21 PM
- FuelCell Energy and Gyeonggi Green Energy Announce Agreement for Purchase of Fuel Cell Modules and Service Agreement for World’s Largest Fuel Cell Power Platform • GlobeNewswire Inc. • 05/28/2024 04:46:52 PM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 05/24/2024 08:42:32 PM
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- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 05/21/2024 09:23:12 PM
- FuelCell Energy and Toyota Motor North America Celebrate Launch of World's First "Tri-gen" Production System at the Port of Long Beach • GlobeNewswire Inc. • 05/02/2024 11:30:00 AM
- FuelCell Energy and Toyota Motor North America Celebrate Launch of World's First 'Tri-gen' Production System at the Port of Long Beach • PR Newswire (US) • 05/02/2024 11:00:00 AM
- Tyrone Michael Jordan Appointed to FuelCell Energy’s Board of Directors • GlobeNewswire Inc. • 04/29/2024 09:01:32 PM
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- Form ARS - Annual Report to Security Holders • Edgar (US Regulatory) • 02/16/2024 10:10:25 PM
- Form DEFA14A - Additional definitive proxy soliciting materials and Rule 14(a)(12) material • Edgar (US Regulatory) • 02/16/2024 10:09:16 PM
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