Brokerage Operations Processing: The Margin Department
This module provides an overview of the function and responsibilities of the margin department of a brokerage firm. This course replicates the content from module 4 of Fundamentals of Brokerage Operations.
CPE Credits: 1
Program Details (NASBA) View
Program Level | Basic |
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 | Management Advisory Services |
Duration : 1 hour
- Buying on margin and margin accounts
- Calculating equity and debit balance
- Reg T excess and buying power
- Margin regulation
- Close out