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Broker-Dealer Regulation

Financial Markets World Inc.
Training overview
Length: 2 days
Training type: Classroom / Public

Course description

Course description

Broker-Dealer Regulation

William Jannace, a Wall Street veteran and now professor at Fordham School of Law, affiliated with the Fletcher Network for Sovereign Wealth and Capital, and lecturer at the Wharton School of Business, has created a 2-day seminar covering broker-dealer registration and regulatory requirements. 

The course will cover the legal and regulatory structure governing broker-dealers including SEC registration and SRO membership requirements, licensing and continuing education requirements for firm employees, financial and operational requirements, record keeping and retention requirements, supervisory requirements, and the role of legal and compliance.

Who should attend?

If you need to understand how to raise capital, or are an entrepreneur considering establishing a new brokerage firm, someone aspiring to work in capital markets, working in capital markets seeking to expand his or her knowledge, an owner of a private company considering tapping the capital markets, compliance personnel, or just want to broaden your expertise on these critical trends, this is the seminar.

It is not aimed at financial engineers looking for hedging and trading strategies, but for those professionals seeking to expand their knowledge with insights and practical guidance, such as board members, or senior management of private companies.

Training Content

  • Regulatory Requirements for a Broker-Dealer
  • Overview of Broker-Dealer Functions
  • Financial and Operational Rules
  • Cybersecurity
  • Regulation SCI/Business Continuity
  • Sales Practice
  • Supervision


Participants of this program will receive 14 CPE credits.


The cost of this program is $1695. Inquire for more details.

About supplier

Financial Markets World

Financial Markets World - Leading Financial Training

Financial Markets World (FMW) is a leading provider of financial training to the global financial community. FMW offers cutting-edge training courses that cover the breadth of the global financial services industry, and address current industry requirements. All of FMW's training...

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