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Financial Responsibility, Recordkeeping, and Exams

Recorded on: Jul. 3, 2012
Running Time: 01:26:43

Full Transcript:


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Taken from the Web Program Fundamentals of Broker-Dealer Regulation 2012 recorded June, 2012 in New York.

Lecture Topics  [01:26:43]

Financial Responsibility, Recordkeeping, and Exams  [01:26:43]
  • The Net Capital and Customer Protection Rules
  • Recordkeeping
  • The SEC and FINRA’s Exam Program
The purchase price of this segment includes the following article from the Course Handbook available online:
  • Broker-Dealer Regulation: Record Keeping
    John R. Hewitt
  • SEC and FINRA Examination Programs
    John R. Hewitt
  • Overview of the Broker-Dealer Financial Responsibility Rules (PowerPoint Slides)
    Christopher M. Salter

Presentation Material

  • Financial Responsibility, Recordkeeping, and Exams
    Christopher M. Salter
  • Financial Responsibility, Recordkeeping, and Exams
    John R. Hewitt
  • Financial Responsibility, Recordkeeping, and Exams
    John R. Hewitt
Speaker(s)
John R. Hewitt ~ McCarter & English, LLP
Christopher M. Salter ~ Allen & Overy LLP
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