Amendments to Financial Responsibility, Reporting and Audit Rules for Broker-Dealers (Rule 17a-5) PDP Webcast - October 8, 2013

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Webcast

Webcast summary 

On July 31, 2013, the Securities and Exchange Commission ("SEC") adopted two new sets of rules that, taken together, tighten the controls required for broker-dealers holding customer funds and securities. In this installment of the PDP Live Webcast Series participants will gain an understanding of the amendments to the financial reporting rule for broker-dealers.

Webcast details

Watch this recorded webcast

On July 31, 2013, the Securities and Exchange Commission ("SEC") adopted two new sets of rules that, taken together, tighten the controls required for broker-dealers holding customer funds and securities. The new rules amend (1) various financial responsibility requirements for broker-dealers (the "financial responsibility requirements") and (2) several reporting and audit rules for broker-dealers and their auditors (the "custody-related requirements"). While most of the amendments impact those broker-dealer firms that carry customer accounts or provide clearing services, all broker-dealers will be required to submit new reports to the SEC in 2014.

Speakers:

  • Amy Altman, Senior Manager
  • Tim Boyce, Senior Manager

Who should attend? 

Broker-dealer accounting and financial reporting professionals.

Course Level: 

Basic

Objective/Content: 

Participants will gain an understanding of the amendments to the financial reporting rule for broker-dealers.

CPE credit:

Participation in the live webcast qualifies for 1 CPE credit. 

Please note that CPE credit can only be given to individuals who remain logged into the LIVE webcast and respond to the polling questions provided during the webcast. If you are viewing this webcast in a group, everyone in the group can receive CPE Credit. Also, those who dial in via telephone are NOT eligible for CPE credit. Please note that this is a NASBA (not PwC) requirement.

If you have any questions concerning continuing professional education (CPE), you can find answers here to frequently asked questions concerning CPE webcast participation.