Customer Protection Rule 15c3-3 Certification Exam

Customer Protection Rule 15c3-3 Compliance officers and operations managers at broker-dealers spend significant portions of their day wrestling with Rule 15c3-3’s segregation and safeguarding requirements. This certification targets professionals responsible for protecting customer assets, understanding net capital rules, and navigating the SEC’s detailed custody framework. It’s essential for anyone ensuring their firm meets stringent financial responsibility standards.