Customer Protection Rule 15C3-3 - Online

ITEM RGCO0211X

Self Paced Course

Available Now
Online

$449.00

Online

5 Hours

English

Professional

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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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Curriculum

What you'll learn

Who should take this

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

Customer Protection Rule 15C3-3 - Online

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!

Customer Protection Rule 15C3-3 - Online

Learn now pay later with

Easy monthly payments

Flexible payments

Module 1: Introduction

Module 2: Operations

Module 3: Rule 15C3-3 Reserve Formula

Final Exam