Processing Securities Transactions - Online

This module provides a look at all the different departments that are required to make a brokerage firm tick and then follow a security through its clearance and settlement process.

This is the same content as module 5 of the online course 'Fundamentals of the Securities Industry'

This is an asynchronous eLearning course that can be accessed 24/7 from any internet enabled computer.

Available TodayOnlineUSD$60.00
Instructional Method:
Self-Study
Level: Basic

CPE CREDITS
1
Newcomers to the securities industry, traders, salespeople, back office professionals, staff assistants, compliance staff, auditors and IT professionals.
Students will be able to:
  • Understand the processing and approval procedures
  • Identify the functions of back office departments
  • Understand the key dates in a settlement
  • Introduction to Brokerage Operations - Online
  • Back Office: The Order Room - Online
  • Back Office: Purchase and Sales - Online
  • Back Office: The Margin Department - Online
  • Back Office: The Cashier's Department - Online
    • Processing Securities Transactions
    Topics covered include:
    • Understand the processing and approval procedures
    • Identify the functions of back office departments
    • Understand the key dates in a settlement
    Duration: 1 hour

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