Global Corporate Actions Forum
SIFMA's Global Corporate Actions Forum gathers operations and technology professionals from broker-dealers, banks, asset managers, service providers and clearing firms…
SIFMA FMS Virtual Education Day: Net Capital and Customer Protection
Overview
On Thursday, March 11, learn the fundamentals of the Net Capital Rule (Rule 15c3-1) and the Customer Protection Rule (Rule 15c3-3) which focus on liquidity and broker-dealer financial responsibility.
Hear from our panel of senior finance and regulatory reporting experts as they discuss:
12:00 – 1:20 p.m. ET: Net Capital Rule
- Introduction
- Brokerage business models and minimum net capital requirements
- Overview of Rule 15c3-1
- How net capital is determined
1:30 – 2:50 p.m. ET: Customer Protection Rule
- Overview of Rule 15c3-3
- Possession or control of securities
- Computing the reserve requirement
Q&A will follow and the session will conclude at 3:00 p.m. ET. Register now
Featured Speakers
SIFMA FMS Virtual Education Day: Net Capital and Customer Protection
Registration Closed
Overview
On Thursday, March 11, learn the fundamentals of the Net Capital Rule (Rule 15c3-1) and the Customer Protection Rule (Rule 15c3-3) which focus on liquidity and broker-dealer financial responsibility.
Hear from our panel of senior finance and regulatory reporting experts as they discuss:
12:00 – 1:20 p.m. ET: Net Capital Rule
- Introduction
- Brokerage business models and minimum net capital requirements
- Overview of Rule 15c3-1
- How net capital is determined
1:30 – 2:50 p.m. ET: Customer Protection Rule
- Overview of Rule 15c3-3
- Possession or control of securities
- Computing the reserve requirement
Q&A will follow and the session will conclude at 3:00 p.m. ET. Register now
Featured Speakers
Register
| Registration Rates | $99 |
|---|
| Registration Rates | $199 |
|---|
| Registration Rates | $49 |
|---|
| SIFMA Member | Non-Member | Regulator | |
|---|---|---|---|
| Registration Rates | $99 | $199 | $49 |
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.
Sponsorship
Gold
Silver
SIFMA's Strategic Partners
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: https://www.nasbaregistry.org/
Webinar Tips and FAQs
For an optimal virtual experience, we recommend attendees view this virtual event using a Chrome browser on a local machine. Avoid using a VPN or Remote Network (ie: Citrix).
You must have Javascript and Cookies enabled to access the event. For detailed information, including minimum system requirements and FAQs, view more Webinar Tips.
Please note: Access instructions will be sent within 24 hours of the start of this half-day virtual event.
Media
Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134
Policy
View SIFMA’s official Webinar Press Policy.
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.
Cancellations
All cancellation requests are subject to a $25 processing fee and must be made in writing to SIFMA Conferences no later than 48 hours prior to the start of this virtual event. No substitutions or transfers will be accepted.