Continuing professional education for financial services industry professionals

FinServCPE, Incorporated is committed to designing quality continuing professional education programs related to the financial services industry. We will be offering training programs on the SEC's Customer Protection Rule - Rule 15c3-3, SEC Rule 15c3-1 - Net Capital, securities margin regulations and more. These training programs are ideal for

  • Certified Public Accountants with securities broker-dealer clients.

  • Internal Auditors.

  • Finance and Accounting professionals.

  • Operations professionals.

  • Compliance professionals.

  • Regulators.

    • The design and contents of each training program are the result of decades of practical experience in the subject area as well as in the design and instruction of training programs.


    Opportunity to earn free CPE credits. We need pilot testers. Click here.