SEC Rule 15c3-5 — Pre-Trade Financial Limit Risk Control

Statutory Framework: 17 CFR § 240.15c3-5 (Market Access Rule)
Rule ID: SEC-RULE-15C3 | Severity: PROGRAMMATIC BLOCKER
Mitigation Action: LOCKFREE_CAPITAL_ALLOCATOR

1. Statutory Mandate & Legal Boundary

"Enforces mandatory pre-trade credit verification and financial exposure limits, programmatically halting un-gated automated order routing scripts."

2. Technical Invariant & AST Engine Matcher

[POLICIES.SEC-RULE-15C3]
rule_id = "SEC-RULE-15C3"
statute = "17 CFR § 240.15c3-5 (Market Access Rule)"
severity = "BLOCKER"
action = "LOCKFREE_CAPITAL_ALLOCATOR"

[ENFORCEMENT]
fail_closed = true
audit_trail = "Ed25519_DAC"
latency_max_us = 800

3. Production Python / Rust Integration

from anchor import AnchorGuard

@AnchorGuard.guard(policy="SEC-RULE-15C3")
def process_machine_payload(payload: dict):
    # Evaluated in <0.8ms against SEC-RULE-15C3 AST query bounds
    return compliance_engine.enforce(payload)