Join the Corporate Actions Section for our annual DTCC Seminar, covering the latest updates in operations, tax, product enhancements and…
FMS Fundamental Training
Net Capital and Customer Protection
Registration Rates – Until 3/28/18
- FMS Member $45
- FMS Member - Webinar $45
- Non-Member $130
- Non-Member - Webinar $130
Join the FMS for a fundamental training, where participants can hear from industry participants on the following topics:
- Discover the origins of Broker/Dealer Financial Responsibility Rules
- Determination of Net Capital
- Overview of Customer Protection
- Learn the requirements for Protection of Customer and PAB Portfolios
- Understand the Preparation of Customer and PAB Reserve Requirement
|FMS Member||FMS Member - Webinar||Non-Member||Non-Member - Webinar|
SIFMA Conference Center
New York, NY 10271
Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.
With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.
If you require hotel accommodation, a special SIFMA rate is available at the following:
Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY 10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)
Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900
Eligible for up to 3.5 CPE Credits
Fields of Study:
- Finance – up to 3.5 credits available
Program Level: Beginner
Delivery Method: Group Live
Advance Preparation: None
For more information regarding refund, complaint, and/or program cancellation policies, please contact SIFMA at [email protected]
CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing 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.nasbaregistry.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. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.
If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.
SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.