Brokerage Operations Processing: New Regulations

ITEM RGCO0248

Self Paced Course

Available Now
Online

$89.00

Online (Self-paced)

1 Hours

English

Introductory

Virtual Series Course

Available Now
Virtual (Part-Time)

$89.00

Online (Self-paced)

1 Hours

English

Introductory

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Where Wall Street Goes to SchoolTM!

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Brokerage Operations Processing: New Regulations

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 Fundamentals of Brokerage Operations .

CPE Credits: 1

Program Details (NASBA) View

Program Level	Intermediate
Prerequisites	This course has no prerequisites.
Advance Preparation	No advance preparation required
Recent Revision Date	October 7, 2014
Instructional Delivery Method	QAS Self Study
Field of Study	Auditing

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Curriculum

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Who should take this

Duration : 1 hour

Sarbanes-Oxley
USA PATRIOT Act
Basel II

Brokerage Operations Processing: New Regulations

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in the field.

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in the field.

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in the field.

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in a valid email and phone number.

Select preferred contact method

Please fill in the field.

Where Wall Street Goes to SchoolTM!

Please select a time and date from the calendar to book a 15-minute call with a NYIF Career Advisor.

You can also reach us on +1 347 842 2501 or marketing@nyif.com

Something went wrong, please try again later!

Brokerage Operations Processing: New Regulations

Learn now pay later with

Easy monthly payments

Flexible payments

Module 1: New Regulations in Brokerage Operations