New Regulations in Brokerage Operations - Online

Brokerage operations covers all phases of securities processing within a brokerage firm. Brokerage operations was designed for beginners, but supervisors and other experienced personnel can use it to gain a better understanding of the field.

This course replicates the content from module 7 of Brokerage Operations - Online

This is an asynchronous eLearning course that can be accessed 24/7 from any internet enabled computer. Subscription period for this course is 90 days.

Available TodayOnlineUSD$60.00
Instructional Method:
Self-Study
Level: Basic
CPE Credits: 1

Professionals new to the securities industry.
Students will be able to:
  • Identify the key sections of Sarbanes-Oxley and understand how they relate to our business
  • Identify the key Acts of the USA PATRIOT Act that are relevant to Brokerage Operations
  • Identify how we will need to be prepared for the implementation of Basel II and how it relates to Brokerage Operations
New Regulations in Brokerage Operations
  • Sarbanes-Oxley
  • USA PATRIOT Act
  • Basel II