From the program: Fundamentals of Broker-Dealer Regulation 2013
Recorded on: Jun. 28, 2013
Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2013 recorded June, 2013 in New York.Lecture Topics [01:13:11]Financial Responsibility, Recordkeeping, and Exams [01:13:11]
The Net Capital and Customer Protection Rules
The SEC and FINRA’s exam program The purchase price of this segment includes the following article from the Course Handbook available online:
Record-Keeping (August 6, 2012)John ...