Philip Antico and Jessica Cicero hosted a training session designed to give you a better understanding of the broker-dealer industry. Topics of discussion include, defining a broker dealer and understanding its business, reviewing financial statements and their components, discussing regulatory oversight and reporting requirements, net capital and SIPC computation review and discussions of exemption report requirements. Download a copy of the PowerPoint presentation and materials here.
You must be a WS+B Staff Employee to access this material. It is password protected through GoFileRoom. Any assistance with username and password, please contact a member of the IT department.