Description

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