Regulation & Compliance

Describe the new regulations for brokerage operations that have arisen in the fi...

Understand how technology has impacted brokerage operations....

List the function and responsibilities of the cashier's department of a brokerag...

List the duties of the Purchase and Sales Department in five areas: Recording, F...

Describe the processes that happen in the Order Room of a brokerage firm. ...

Learn about the back office operations of a brokerage firm. ...

Explain how orders move from the order room to purchase and sales and finally to...

Understand the working of the various departments within a brokerage firm and fo...

This course will introduce participants to various types of securities and produ...

Brokerage accounting and how associated regulations interact with operations....

Understanding multiple aspects of brokerage operations and the impact of Dodd Fr...

This course reviews the impact and implementation challenges of the Basel framew...