Navigate SEC and CFTC Financial Responsibility Rules
Stay informed on key U.S. Securities Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) financial responsibility rules at SIFMA's FMS Virtual Education Day on December 3, 2026, from 1:00 p.m.-4:00 p.m. ET.
Designed for finance, regulatory reporting, operations, and compliance professionals at broker-dealers and futures commission merchants (FCMs), industry experts will discuss the latest developments in capital requirements, customer fund protections, and the practical applications for implementing them.
Sessions include:
- Net capital requirements
- Customer reserve requirements
- Futures customer fund segregation
- Interactive Q&A – have your questions ready!
This virtual program is hosted by the SIFMA Financial Management Society (SIFMA FMS).
Participants joining live on December 3 will be eligible for CPE credits – stay tuned for details.
Program
Stay tuned for more speaker announcements. All times subject to change.
Register
SIFMA Member Rate
$100
Non-Member Rate
$199
Regulator Rate
$50
Registration is required to participate and closes on December 3 at 10:00 a.m. ET.
Is your firm a SIFMA member? Check our Member Directory
Questions? Please contact SIFMA Conferences
Useful Information
Registration Questions
Advance registration is required to participate. Questions? Contact SIFMA Conferences.
Media Inquiries
Contact Anthony Mitchell for our press policy and for media registrations.
Accessibility
It is a priority to make our events inclusive and accessible for all. For questions or requests, please contact SIFMA Conferences.
Cancelations
Cancelations submitted by November 20, 2026, will receive a refund minus a $50 processing fee. Refunds are not given for no-shows.
Access Instructions
Access instructions will be sent from SIFMA the day before and a reminder is sent 1 hour before the start time. If you do not receive them, contact SIFMA Conferences.
Technical Requirements
This webinar will be hosted on the Zoom Webinar platform. View instructions on joining and participating in Zoom Webinars.
CPE Credits
The FMS Education Day - December 3, 2026, program (virtual) is eligible for CPE Credits.
Please check back soon for details.
Field of Study: Specialized Knowledge
Program Level: Intermediate
Advance Preparation: None
Note: Registered attendees who join the live webinar on December 3, 2026, will be eligible to receive credits.
CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.
