transcript   Transcript

Broker-Dealer Financial Responsibiity; Trading Issues

Recorded on: Jul. 18, 2017
Running Time: 01:02:27

Full Transcript:



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Taken from the briefing Fundamentals of Broker-Dealer Regulation 2017 recorded July, 2017 in New York.

Broker-Dealer Financial Responsibiity; Trading Issues [01:02:26]
  • The Net Capital and Customer Protection Rules
  • The 2014 Amendments to the SEC’s rules re: financial responsibility and broker-dealer reports
  • Requirements re: trading and trade reporting
(CFE Field of Study: Fraud)
Mark M. Attar, William D. Edick

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Recent Developments Relating to Rules 15c3-1 and 15c3-3 Under the Securities Exchange Act of 1934 (May 23, 2017)
    Jack P. Drogin, Mark M. Attar
  • Broker-Dealer Trading Issues (May 10, 2017)
    William D. Edick

Presentation Material

  • Broker-Dealer Trading Issues
    William D. Edick
(s)
Mark M Attar ~ Schiff Hardin LLP
William D Edick ~ Pickard Djinis and Pisarri LLP
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