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Photorealistic computer monitor displaying a compliance dashboard with text about SEC Rule 15c3-3 in a modern office.

📊 3. Abuse of SEC Rule 15c3-3 (The "Customer Protection Rule" Lock-Up)SEC Rule 15c3-3 requires broker-dealers to maintain physical possession or control of all fully paid and excess margin securities carried for the account of customers.The Overlooked Violation: When MMTLP was deleted and became Next Bridge, many brokers moved the asset into "Chill" or "Lock-up" states, refusing to allow investors to transfer them out to the transfer agent. Brokers argued this was due to processing delays. However, maintaining long-term, indefinite internal restrictions on a fully paid asset arguably violates the spirit of Rule 15c3-3's physical control mandates.The Impact: By allowing brokers to keep the asset "trapped" on internal ledger books Voir plus

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