CPE Course Materials / Withum University

10/18/2016 – Intermediate Broker Dealer Training

Philip Antico and Jessica Cicero hosted an Intermediate Broker Dealer Training session designed to build on your understanding of the broker dealer industry.  Topics discussed – complex net capital computation and haircuts, an overview of related party standards, exemption reports for non-carrying broker dealers and revenue control testing.  Download a copy of the PowerPoint presentation and materials here.

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