Course Details
CPE Credits: 3.0
Field of Study: Specialized Knowledge
Prerequisites: Basic familiarity with broker-dealer operations and SEC financial responsibility requirements.
Advanced Preparation: None
Program Level: Intermediate
Delivery Method: Group Internet Based
Location / Platform: Virtual
Time Zone: Eastern Time
Course Description
A practical course on SEC Rule 15c3-3, including possession or control requirements, customer reserve concepts, exemptions and other applicable provisions, and the relationship of customer protection compliance to regulatory reporting, audits, and compliance examinations.
Learning Objectives
Upon completion of this course, participants will be able to:
Explain the purpose and principal requirements of SEC Rule 15c3-3.
Identify broker-dealer activities that create possession or control and customer reserve requirements.
Explain the basic components of the customer reserve computation and possession or control requirements.
Evaluate whether a broker-dealer qualifies for an exemption from, or operates under another applicable provision of, Rule 15c3-3.
Identify compliance issues that may affect regulatory reporting, financial statement audits, and compliance attestation engagements.
Instructor
Harley Aronoff, CPA
CPE Policies
Complaint Resolution Policy
For complaints or concerns regarding this program, contact Blue Diamond Audit & Regulatory Advisors by email at Concierge@bluediamondauditadvisors.com
Attendance Requirements
Participants must attend the entire program and actively participate in all sessions to receive full credit.
Partial credit will not be awarded.
Refund / Cancellation Policy
Refund requests must be submitted in writing at least 10 days prior to the program date. If Blue Diamond Audit Advisors must cancel a training course, participants will receive a full refund or a credit for a future training course, valid for up to 1 year from the date of the canceled event. Participants will be notified of any cancellation via email at the address provided during course registration.
Blue Diamond Audit & Regulatory Advisors is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.