Training, education and professional development:
All training programs and seminars can be customized to meet the specific goals of your organization.
- Understanding the Securities Industry and Securities Settlement and Clearance.
- The Uniform Net Capital Rule (SEC Rule 15c3-1)
- Possession or Control and the Customer Reserve Formula (SEC Rule 15c3-3)
- Understanding Margin Requirements
Other programs are available or can be designed to meet the specific requirements of your organization and employees.
Looking for a self-study solution to training needs? Visit FinServCPE
Contents last revised on 9/06/10
(c) Stephen H. Glad 2007