Class: SILA Fundamentals of Broker-Dealer Registration Management

There are numerous compliance requirements that broker-dealer registration professionals must adhere to on a daily basis.  In this public 2 hour class, we will highlight specific registration-related compliance requirements applicable to broker-dealers and their associates.  This course is useful for compliance professionals new to broker-dealer registration as well as to those who simply want to learn more about broker-dealer registration matters. 

Class syllabus: Pending, revision in process.

•  SILA Certification: Elective Course Option
• SILA Associate: Elective Course Option
• SILA Professional Development: 4 SILA CE Credits

Class times are Eastern.

Classes will not be recorded.

Enrollment closes 24 hours prior to the first class session.

Class Instructed By:

Margie Webber, Director, Regulatory Compliance

margie.webber@reged.com

Industry Experience: 40+ Years