0      0

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.


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



  • 0.00 - Specialized Knowledge & Application

You must be logged in and own this session in order to post comments.