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

Date

March 11, 2021

Location

Virtual Event

Hosted by

SIFMA Financial Management Society

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

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: 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.