Overview

Join the FMS for a fundamental training, where participants can hear from industry experts on the following topics:

• Origin and overview of Broker-Dealer Financial Responsibility Rules
• Learn about how net capital is determined
• The business model of the broker-dealer and its minimum net capital
• Customer protection: its origins, possession or control of securities, computing the reserve requirement

SIFMA FMS Virtual Education Day: Net Capital & Customer Reserve

Date

March 11, 2021

Location

Virtual Event

Hosted by

SIFMA Financial Management Society

Registration Rates – Until 3/11/21

  • SIFMA Member $99
  • Non-Member $199
  • Regulator $49

Overview

Join the FMS for a fundamental training, where participants can hear from industry experts on the following topics:

• Origin and overview of Broker-Dealer Financial Responsibility Rules
• Learn about how net capital is determined
• The business model of the broker-dealer and its minimum net capital
• Customer protection: its origins, possession or control of securities, computing the reserve requirement

Program

12:00pm – 3:00pm

Participants

Mark Axelrod, Ralph Mattone, Adam Nava, Anthony Scalise, Christy Schaffner

Speakers

Mark Axelrod

Vice President COO Divisional Control and Regulatory Office

Deutsche Bank

Mark Axelrod’s Biography

Ralph Mattone

Managing Director, Finance

UBS

Ralph Mattone’s Biography

Anthony Scalise

Audit Partner

KPMG LLP

Anthony Scalise’s Biography

Christy Schaffner

Executive Director, Head of US Regulatory Reporting

Nomura

Christy Schaffner’s Biography

Venue

Virtual Gathering


Webinars, Webcasts, Virtual

Join us online for live and on-demand sessions! Participation instructions will be sent in advance of the event.

Picture of venue

Accreditation

Eligible for 3 Credits

Field of Study: Accounting
Program Level: Beginner
Delivery Method: Group-Live or Webinar
No Advanced Preparation or Prerequisites Required

CEU Institute to provide CPE Certificates

CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Substitutions
Conference registration substitutions are welcome. Email SIFMA Conferences with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.