Course Details
CPE Credits: 2.0
Field of Study: Specialized Knowledge
Prerequisites: None
Advanced Preparation: None
Program Level: Basic
Delivery Method: Group Internet Based
Location / Platform: Virtual
Time Zone: Eastern Time
Course Description
An introductory course explaining broker-dealer business models, the regulatory environment, and the SEC financial responsibility framework. The course provides foundational knowledge of net capital, customer protection, financial reporting, exemption status, and the relationship between regulatory requirements and the audit.
Learning Objectives
Upon completion of this course, participants will be able to:
Describe the principal types of broker-dealers and common securities activities they perform.
Explain the regulatory framework applicable to broker-dealers, including the respective roles of the SEC, FINRA, and PCAOB.
Identify the primary financial responsibility rules applicable to broker-dealers.
Explain how a broker-dealer’s business activities affect its net capital, customer protection, financial reporting, and audit requirements.
Distinguish between broker-dealers that carry customer accounts and those operating under exemption or other permissible provisions.
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.