October 15 – 1:00 PM 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 and led by Harley Aronoff of Blue Diamond Audit Consulting 

Click here to register and get a 50% rebate