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Events

FMS Fundamental Training: Net Capital and Customer Protection

Mar 28, 2018
Dave Grumer

When

Wednesday, March 28, 2018  8:30 AM - 12:30 PM

Where

SIFMA Conference Center 
120 Broadway, 2nd Floor
New York, NY 10271

On Wednesday, March 28th, 2018, partner, Dave Grumer, will be speaking at a SIFMA conference, "FMS Fundamental Training: Net Capital and Customer Protection"

The following topics will be discussed:

  • Discover the origins of Broker/Dealer Financial Responsibility Rules
  • Determination of Net Capital
  • Overview of Customer Protection
  • Learn the requirements for Protection of Customer and PAB Portfolios
  • Understand the Preparation of Customer and PAB Reserve Requirement

To learn more, visit the SIFMA website