New Regulations in Brokerage Operations - Online

This module covers new regulations for brokerage operations that have arisen in the first part of the new millenium.

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
  • 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
    • New Regulations in Brokerage Operations
    • Sarbanes-Oxley
    • USA PATRIOT Act
    • Basel II
    Duration: 1 hour