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SEC Net Capital Rule 15C3-1

Tickets

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Date :

February 20

Time :

9:00 am - 5:00 pm

Address :

115 Broadway New York,NY10006United States

Event Description

William Jannace, a former securities regulator with the NYSE and FINRA has developed a comprehensive course the SEC Net Capital rule covering:  SEC and FINRA requirements and interactions impacting net capital compliance as well as an overview on broker-dealer structures and operations that impact capital requirements. This course is designed for new compliance, supervisory and technology professionals to the industry, attorneys and other compliance professionals career transitioning and an excellent primer for those considering a career as a regulator.

FULL COURSE DESCRIPTION