Customer Protection Rule 15C3-3 - Online

New York Institute of Finance

ITEM RGCO0211X

Self Paced Course

Available Now
Online

$449.00

video_library

Online (Self-paced)

update

5 Hours

language

English

school

Professional

Virtual Series Course

Available Now
Virtual (Part-Time)

$449.00

video_library

Online (Self-paced)

update

5 Hours

language

English

school

Professional


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17

Customer Protection Rule 15C3-3 - Online

Learn how the three main purposes of the Rule 15C3-3 protect customer interests and how they affect the regulatory environment within firms.

CPE Credits: 5 - The complete list of CPE courses can be found here.

Program Details (NASBA) View
Program Level Intermediate
Prerequisites None
Advance Preparation No advance preparation required.
Recent Revision Date March 6, 2017
Instructional Delivery Method QAS Self Study
Field of Study Specialized Knowledge

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Duration : 45 Minutes

  • Lesson 1: Regulatory Environment Overview
  • Lesson 2: Rule 15C3-3 Reserve Formula

Duration : 2 Hours

  • Lesson 1: Settlement
  • Lesson 2: Custody and Asset Servicing
  • Lesson 3: Margin
  • Lesson 4: Stock Record

Duration : 1 Hour 30 Minutes

  • Lesson 1: Rule 15C3-3 Reserve Formula

Duration : 30 Minutes