Having a solid financial foundation—including understanding your monthly cash flow, calculating your net worth, managing debt and building an emergency fund—is an important aspect of successful investing.
Financial planners can come from a variety of backgrounds and offer a variety of services. They might be brokers or investment advisers, insurance agents or practicing accountants—or they might have no financial credentials at all.
Net CapitalLiquidity Risk ManagementCredit Risk ManagementPortfolio Margin and Intraday TradingSegregation of Assets and Customer ProtectionPrevious:Market Access RuleUp:Financial ManagementNext:Net Capital
Cybersecurity and Technology ManagementAnti-Money Laundering, Fraud and SanctionsManipulative TradingPrevious:How to Use the ReportUp:Financial CrimesNext:Cybersecurity and Technology Management
NEW FOR 2023
Cybersecurity and Technology Governance
Anti-Money Laundering, Fraud and Sanctions
Manipulative Trading NEW FOR 2023
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How to Use the Report
Up:
Financial Crimes
Next:
Cybersecurity and Technology Governance
Net Capital
Liquidity Risk Management
Credit Risk Management
Portfolio Margin and Intraday Trading
Segregation of Assets and Customer Protection
Previous:
Regulation SHO – Bona Fide Market Making Exemptions and Reuse of Locates for Intraday Buy-to-Cover Trades
Up:
Financial Management
Next:
Net Capital
Observations on Liquidity and Credit Risk Management
Segregation of Client Assets
Net Capital Calculations
