About This Course
This CLE course offers a focused look at the evolving legal and regulatory standards shaping financial responsibility in the securities sector. Using insights from the 2025 Regulatory Oversight Report, the session addresses key issues such as liquidity risk, net capital rules, and customer asset protections, with practical guidance on compliance and enforcement risks.
Attendees will explore recent and proposed SEC rule changes—including Treasury clearing mandates and updates to Rule 15c3-3 reserve calculations—alongside broader trends in cash risk management. The course is designed to help legal professionals navigate shifting regulatory expectations and effectively counsel clients operating in today’s complex supervisory environment.
