Broker/Dealer Compliance – Parts 1 and 2



This course is presented in two sessions: Part 1 and Part 2. Registrants should attend both sessions in their entirety.

  • Date: TBD 2023
  • Recommended CPE Credits: 5.5
  • Duration: 2.5 Hours
  • Time: 9:00-11:30 a.m. ET


Product Information


Trying to maneuver through the plethora of Broker/Dealer Compliance requirements can be overwhelming and at times frustrating. No one enjoys spinning their wheels while reporting deadlines loom. This two-day course assists professionals in identifying the rules, regulations, regulatory and business trends and guidance applicable to their firms’ business model.

This course is presented in two 2.5-hour-long sessions. Registrants should attend both sessions in their entirety.

Course Objectives

By the end of the course, participants will be able to:

  • Describe the SEC and SRO rules and regulations as they apply to Brokers Dealers (B/Ds)
    • SEC-SRO Regulatory Pyramid
      • Securities Exchange Act Requirements
      • FINRA Requirements
      • Broker-Dealer Self-Reporting Requirements
      • Branch and Office of Supervisory Jurisdiction inspections
      • Regulatory examinations and audits
    • Discuss SEC and SRO oversight
      • FINRA Supervisory Rules
        • Firm Supervisory Requirements
        • CEO Certification Process
        • Internal Controls
      • Overview in Trends in Compliance
        • Role of Technology
        • Sandboxes
        • Disciplined Firms
      • Develop an understanding of Compliance and Supervisory Processes and techniques:
        • Three Lines of Defense
          • Integrated/Sustainable Surveillance
          • Role of internal audit
          • Compliance versus supervision
          • Exception Reports
          • Compliance Techniques and Reviews
          • Information barriers and conflicts of interest

Suggested Prerequisites: None

Program Level: Foundational

Target Audience: Anyone who wants to learn about broker/dealer compliance, such as staff from compliance, legal, operations, IT, middle office, or HR, and regulators who work closely with various aspects of the securities markets.

Advance Preparation: None

Computers and Financial Calculators: N/A

Recommended CPE Credits: 5.5

Duration: 2.5 Hours Total

Time: 9:00-11:30 a.m. ET

Price: $599/learner