Regulation & Compliance
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Sale
Series 79 Exam Prep Package: Online
English Introductory
Prepare to pass the Series 79 Exam with 65 hours of online study materials cover...
65 Hours$349.00 $279.20Special Price $279.20 Regular Price $349.00 -
Sale
Series 63 Exam Prep Package: Online
English Introductory
Prepare to pass the Series 63 Exam with 45 hours of online study materials cover...
45 Hours$149.00 $119.20Special Price $119.20 Regular Price $149.00 -
Sale
Series 66 Exam Prep Package: Online
English Introductory
Prepare to pass the Series 66 Exam with 56 hours of online study materials cover...
56 Hours$185.00 $148.00Special Price $148.00 Regular Price $185.00 -
Sale
Series 7 Exam Prep Package: Online
English Introductory
Prepare to pass the Series 7 Exam with 78 hours of online study materials coveri...
78 Hours$289.00 $231.20Special Price $231.20 Regular Price $289.00 -
Sale
Data Governance in Financial Services & the Impact of Global Regul...
English Professional
Driven by the massive increase in the global regulatory environment, this is a c...
1 Day$1,090.00 $872.00From $697.60 Regular Price $872.00
To $610.40 Regular Price $763.00
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Sale
Customer Protection Rule 15C3-3 - Online
English Professional
Learn how the three main purposes of the Rule 15C3-3 protect customer interests ...
5 Hours$490.00 $392.00Special Price $392.00 Regular Price $490.00 -
Sale
Brokerage Operations Professional Certificate: Online
English Introductory
This course will provide you with the baseline knowledge of the entire trade lif...
20 Hours$1,390.00 $1,112.00Special Price $1,112.00 Regular Price $1,390.00 -
Sale
Online Professional Certificate in Operations and Compliance
English Professional
Learn the latest developments in trade processing and systems that enable firms ...
72 Hours$1,990.00 $1,592.00Special Price $1,592.00 Regular Price $1,990.00 -
Sale
Fundamentals of Brokerage Operations
English Introductory
Explain how orders move from the order room to purchase and sales and finally to...
8 Hours$590.00 $472.00Special Price $472.00 Regular Price $590.00 -
Capital Markets 101: Market Structure, Products and Regulatory Trends
English Introductory
This course will introduce participants to various types of securities and produ...
2 Days$2,090.00 $1,672.00From $1,352.00 Regular Price $1,690.00
To $12,000.00 Regular Price $15,000.00
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Sale
Brokerage Accounting and Regulatory Reporting
English Introductory
Brokerage accounting and how associated regulations interact with operations....
1 Day$2,090.00 $1,672.00From $1,337.60 Regular Price $1,672.00
To $1,170.40 Regular Price $1,463.00
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Sale
Brokerage Operations
English Introductory
Understanding multiple aspects of brokerage operations and the impact of Dodd Fr...
2 Days$2,090.00 $1,672.00From $1,337.60 Regular Price $1,672.00
To $1,170.40 Regular Price $1,463.00
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Sale
Basel III: Challenges for Emerging Markets
English Introductory
This course reviews the impact and implementation challenges of the Basel framew...
2 Days$1,890.00 $1,512.00From $1,209.60 Regular Price $1,512.00
To $1,058.40 Regular Price $1,323.00
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Sale
Customer Protection Rule 15c3-3
English Professional
Learn how the three main purposes of the Rule 15c3-3 protect the customer intere...
1 Days$1,390.00 $1,112.00From $889.60 Regular Price $1,112.00
To $778.40 Regular Price $973.00
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Sale
Risk Regulation: The Dodd-Frank Act
English Professional
This course is a comprehensive review of the objectives and regulations of the D...
2 Days$1,990.00 $1,592.00From $1,273.60 Regular Price $1,592.00
To $1,114.40 Regular Price $1,393.00