Compliance for the Securities Industry - Day

This course provides a thorough examination of the regulatory bodies and regulations under which the securities industry operates in the United States. The structure and function of the legal and compliance department of a broker-dealer is examined in light of this overall regulatory environment.

24-Jul-2008 -- 25-Jul-2008New YorkUSD$2375
NY Institute of Finance - Downtown9:00am - 4:30pm Instructional Method:
Group-Live
Instructor(s): [ William Jannace; ] Thu Fri Level: Intermediate
CPE Credits: 14.0

20-Nov-2008 -- 21-Nov-2008New YorkUSD$2375
NY Institute of Finance - Downtown9:00am - 4:30pm Instructional Method:
Group-Live
Instructor(s): [ William Jannace; ] Thu Fri Level: Intermediate
CPE Credits: 14.0

Compliance staff, branch office managers, attorneys, auditors and exchange personnel will benefit from this program.
No advance preparation required.
Students will be able to:
  • Demonstrate a practical understanding of the following:
  • Regulations of securities markets, SROs
  • Broker/Dealer Guidelines
  • Knowledge of Capital Markets
  • Sales Practice/Supervision
  • Supervision (Federal and SRO schemes)
  • Compliance
None
  • Brokerage Operations - Evening
    • Day 1: Securities Regulators - Structure of Markets

    Regulatory Structure

    • Broker-Dealer Regulatory Structure
    • SRO Rulemaking
    • Broker-Dealer Structure

    Broker-Dealer Regulation

    • Net Capital
    • Customer Protection
    • Licensing
    • Supervision
    • Margin/Credit Rules
    • Regulation SHO

    Capital Markets Compliance

    • Underwriting
    • Regulation M
    • Rule of NASD
    • After-market Activities
    • Conflicts of Interest

    Day 2: Securities Regulators - Structure of Markets

    Sales Practice/Supervision

    • Suitability
    • Churning
    • Options Fraud

    Supervision

    • Federal Scheme
    • SRO Scheme

    Compliance

    • Written Supervisory Procedures
    • Internal Controls
    • CEO Certification/CCO Designation

    Clients who register for this course will receive a complimentary 6 month subscription to the Financial Times and FT.com. The Financial Times is the world's most respected financial newspaper providing a broad assessment on finance, business and the industrial sector. Subscriptions will start within 6-8 weeks of the application process, and are limited to one per client. For questions about your subscriptions call 800-628-8088 or email uscirculation@ft.com. US and Canada enrollees only.

    Lunch included for all students taking day classes.