Loading Events

SEC Net Capital Rule 15C3-1

Tickets

19 available
SEC Net Capital Rule 15c3-1 - 06/26/19$995.00
20 available
SEC Net Capital Rule 15C3-1 - 09/26/19$995.00

Date :

June 26

Time :

9:00 am - 5:00 pm

Address :

180 Maiden Lane, Suite 1102 New York,NY10038United States

Event Description

Background History of the Rule

  • Pre-1934 SEC regulation
  • Securities Act of 1933 & 1934
    • IPOs
    • AAUs-Firm Commitment Underwritings
  • Pre-1975 SEC/NYSE regulations and reporting requirements
  • The paperwork crisis and broker dealer failures
  • Securities Investor Protection Act
  • Securities Exchange Act of 1934
FULL COURSE DESCRIPTION