Houston, Texas (PRWEB) June 2, 2009
In response to numerous industry requests, MGL Consulting Corporation has developed a series of preparatory FINRA Series pre-licensing training classes to be held in June.
Series 4 (June 12, 2009 - $495/person)
FINRA requires its members to successfully complete the Series 4 Registered Options Principal (ROP) Qualification Examination prior to managing a firm's options business. The ROP Qualification Examination is designed to test a candidate's knowledge of the rules and statutory provisions applicable to the supervisory management of a firm's options personnel and options accounts. This class will help students prepare for the examination. Areas of discussion will include:
Series 53 (June 19, 2009 - $495/person)
The Municipal Securities Rulemaking Board (MSRB) requires its members to successfully complete the Series 53 qualification exam prior to supervising municipal securities activities. Some of the topics discussed include:
Series 27/28 (June 25-26, 2009 - $695/person)
A Financial & Operations Principal (FINOP) oversees a firm's financial and operational activities to ensure the firm complies with SEC and FINRA responsibility rules and requirements. This customized, two-day seminar will help prepare attendees to function as a Chief Financial Officer or Financial & Operations Principal (FINOP) of a FINRA member firm. The course covers the balance sheet, SEC/FINRA rules and regulations, net capital deficiencies and regulation applications.
All the above courses will run from 9:00am - 5:30pm and will be held at MGL's company headquarters in The Woodlands, TX (near Houston). They will be taught by Deirdre Patten , an experienced training professional with more than 25 years of service in the industry instructing high profile financial firms. In-depth discussions of subject matter during the courses will provide attendees with insights and the most accurate information currently available for registration examinations. A Continental breakfast and lunch are included with each course.
If you are interested in attending any of these courses, please complete and fax the fillable Registration Form attached. You may also call MGL's Professional Development Department at 281-367-0380. See Hotels for area accommodations. Also note MGL Cancellation Policy.
For more information about this and other courses, please call MGL's Professional Development Department at 281-367-0380 or visit our website at mglu.com.
About the Company
Established in 1984 and celebrating its Silver Anniversary, MGL Consulting Corporation is a full service consulting firm with a domestic and international practice. The firm provides Risk Management and Business Solutions to broker/dealers, investment advisers and insurance agencies to minimize regulatory threats and capitalize on business opportunities. MGL's complete suite of offerings includes FINRA, SEC, NFA, and CFTC registrations, insurance licensing and appointments, ongoing compliance services, Professional Development programs, Purchasing Group registrations/renewals and consulting services covering a wide spectrum of managerial, financial, regulatory and business expansion challenges.
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