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SEC Net Capital Rule 15C3-1

Tickets

19 available
SEC Net Capital Rule 15C3-1 - 10/11/19$995.00

Date :

October 11

Time :

9:00 am - 5:00 pm

Address :

180 Maiden Lane, Suite 1102 New York,NY10038United 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