Open Contractual Commitments in Underwritings—A Net Capital Primer (Duration: 60 Minutes) | FINRA.org

Open Contractual Commitments in Underwritings—A Net Capital Primer (Duration: 60 Minutes)

Open Contractual Commitments require broker-dealers to maintain adequate capital from the moment an underwriting commitment becomes effective through settlement. This FINOP Focus webinar covers the timing rules for charge commencement, calculation methodology and practical applications across registered offerings, unregistered offerings and competitive municipal underwritings.

FINRA Speakers:

  • Anthony Vinci, Senior Director, Office of Financial and Operational Risk Policy
  • David Aman, Senior Advisor, Office of Financial and Operational Risk Policy
  • Mariusz Blasiak, Senior Principal Examiner, Examinations

Resources: 

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