Brokerage Operations

New York Institute of Finance


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Brokerage Operations

Learn multiple aspects of brokerage operations as it responds to the many product processes offered in today's market, and the impact that the Dodd Frank Act both now and in the future.

CPE Credits: 14

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Module 1: Primary Sections of a Brokerage Firm

  • Front office-Revenue generation
  • Middle office-Transaction processing
  • Back office-Security and funding settlement and asset servicing
  • Main records and reports
  • Regulatory reporting

Module 2: Overview of Products

  • Equity
  • Debt/Credit
  • Derivatives
  • Structured

Module 3: Industry Interfaces

  • Institutional and retail clients
  • Banks - in multiple roles
  • Clearing corporations
  • Depositories
  • Regulatories
  • Regulators
  • Vendors

Module 4: Broker Dealer Categories

  • Broker
  • Dealer, market maker, trader
  • Clearing/non-Clearing
  • Prime broker
  • International/Multi-national

Module 5: Trade Entry Process

  • Order entry systems
  • Security master reference file
  • Client master reference file
  • Order flow

Module 6: Functions of the Marketplace

  • Agency vs. principal markets
  • Workings of the market
  • Electronic vs. Person to person
  • Order instructions, Execution, Reporting
  • Omgeo

Module 7: Trade Processing Function

  • Trade Figuration
  • Comparison: Netting and CNS, RTTM, Matching
  • Confirmation: T+3 (Retail); DVP (Institutional)

Module 8: Transaction Processing and Clearing For

  • Mutual funds-via FundServ; Non FundServ
  • Options: Listed and OTC-Working of OCC; Exercise and Assignment
  • Futures-Trade processing: account management; settlement
  • Asset Backed Securities: ISDA Agreements; Warehousing

Module 1: Introduction to the Margin Department

  • Requirements for securities, options and futures
  • Work of the margin department
  • Margin applications: Excess/Maintenance
  • Requirements

Module 2: Security and Cash Settlement

  • Receive and Deliver operation
  • Seg control and balancing
  • Settlement Interfaces
  • Stock Loan/Borrow/Bank Loan
  • Repo/reverse/GCF
  • Workings of the clearing banks
  • FedWire

Module 3: Custody Functions

  • Depositary
  • Custodian Bank

Module 4: Corporate Action Processing

  • Dividend and bond interest processing
  • Mergers, Acquisitions
  • Tenders
  • Reverse Splits, Spin offs, etc

Module 5: Debt Servicing

  • Computation of interest accruals
  • Payment dates
  • Processing Principal and Interest payments
  • Call/partial and full
  • Conversions

Module 6: Cash and Security Accounting

  • Workings of Propriety Accounts
  • Types of Customer Accounts
  • Location Accounts/Illogicals
  • General Business Accounts
  • Purpose of Control Accounts
  • Entry exercise

Module 7: Stock Record

  • Entry types
  • Daily Activity
  • Position Record
  • Take Offs

Module 8: General Ledger

  • Entry types
  • Daily Cash Listing
  • Trial Balance

Module 9: Regulatory and Financial Reports

  • Profit and Loss
  • Balance sheet
  • Net Capital (a.k.a. 15c3-1)
  • Customer protection (a.k.a. 15c3-3)
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