SEC Customer Protection Rule 15c3-3
Updated to include upcoming Rule changes. Learn what the direct effects upon SEC Rule 15c3-3 will be once the SEC proposed Rule 18a-4 for Securities Based Swap Dealers and changes to the FINRA Margin Rule 4210 for TBAs become effective.
This intensive course will review the details of the SEC Customer Protection Rule 15c3-3. It will explain in detail how contents of a customer’s and PAB account, portfolio positions and money balances, are required to be protected by the securities industry. It will also detail how various calculations are preformed on a daily, weekly and monthly basis to ensure this protection. It will define specifics of what protection means and how it is achieved in the broker/dealer community.