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What Every Broker/Dealer Needs to Know About SEC Mandated Customer Protection


Jul 10, 2012 2:00pm ‐ Jul 10, 2012 3:40pm



Credits: None available.

Description

This session will cover:
• Origins of the SEC Customer Protection Rule.
• Definitions of components of the rule
• What does the rule mean by “possession or control” and how is it accomplished?
• How do Broker/Dealers protect Customer Funds?
• Changes are on the horizon

Speaker(s):

Credits

  • 0.00 - Specialized Knowledge & Application

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