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In today's complex regulatory environment, it is difficult to avoid possible violations, even when doing what you have always done. You can stay ahead of the curve by understanding the regulating entities and their associated regulations, the significant rules governing brokers and dealers, and their purpose and content. Beginning with the fundamentals of the securities industry, this Program leads you through the development of this self-regulated industry, including a review of the evolution of the Securities and Exchange Commission, the NYSE Surveillance department and the National Association of Securities Dealers, Regulation division.
| Topics include: |
• Broker/dealer conduct regulation
• Industry regulations
• NASD Rules of Fair Practice |
• NYSE interpretations
• SEC 15c3-1 Uniform Net Capital Rule
• SEC 15c3-3 Customer Protection |
| Benefits of attendance: |
• Appreciate the importance of accurate and timely reporting
• Identify how regulations impact trading and operations
• Improve knowledge of the application and enforcement of critical rules |
• Learn about the different regulators and their roles
• Learn how the Customer Protection Rule safe keeps customer securities and cash balances
• Understand the need for protection of investors and participants |
| Staff from the following areas should attend: |
• Accounting
• Audit
• Compliance |
• Information Technology
• Operations
• Regulatory Reporting |
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