August 27 – 4:30PM EST (virtual)
Earn 1 CPE Credit Hour
For Broker-Dealers and FINOPs of Broker-Dealers
This CPE Workshop will provide an in-depth look at the SEC and PCAOB requirements related to the broker-dealer’s exemption report.
You will go away with the understanding of:
- SEA Rule 17a-5(d) requirements
- PCAOB AT2 requirements
- Securities Exchange Act Rule 15c3-3(k) exemption provisions
Hosted by Harley Aronoff of Blue Diamond Audit Consulting
Sponsored by MCCPA – click here for 50% off discount code