CPE Course Materials / Withum University

10/18/2016 – Introduction to Broker Dealers

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.

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