SII Graduate Program
About the 2021 SII Graduate Program The 2021 SII Graduate Program is an enhanced virtual program. The program will provide…
SIFMA FMS Virtual Education Day: Net Capital & Customer Reserve
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
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
Register
| Registration Rates | $99 |
|---|
| Registration Rates | $199 |
|---|
| Registration Rates | $49 |
|---|
| SIFMA Member | Non-Member | Regulator | |
|---|---|---|---|
| Registration Rates | $99 | $199 | $49 |
Program
12:00pm – 3:00pm
Participants
Mark Axelrod, Ralph Mattone, Adam Nava, Anthony Scalise, Christy Schaffner
Speakers
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
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: 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.