Fundamentals of Brokerage Operations

New York Institute of Finance

ITEM OPST_1003

Self Paced Course

Available Now
Online

$489.00

video_library

Online (Self-paced)

update

8 Hours

language

English

school

Introductory

Virtual Series Course

Available Now
Virtual (Part-Time)

$489.00

video_library

Online (Self-paced)

update

8 Hours

language

English

school

Introductory


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17

Fundamentals of Brokerage Operations

Fundamentals of Brokerage Operations (Version 2.2) covers all phases of securities processing within a brokerage firm. This program illustrates how orders move from the order room to purchase and sales and finally to the Cashier’s Department and how the Margin Department monitors accounts. The program concludes with a look at current trends in the industry. Brokerage Operations was designed for beginners, but supervisors and other experienced personnel can use it to gain a better understanding of the field.

This curriculum is made up of the following modules:

 
 
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

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Duration : 1 hour

  • The importance of brokerage operations
  • Sales and new accounts departments
  • Account types
  • Reading stock listings

Duration : 1 hour

  • Order processing and routing
  • The order form
  • Basic order types
  • Special orders

Duration : 1 hour

  • Recordation and Figuration
  • Calculating bond trades
  • Comparison
  • Trade-for-trade vs. systematized

Duration : 1 hour

  • Buying on margin and margin accounts
  • Calculating equity and debit balance
  • Reg T excess and buying power
  • Margin regulation
  • Close out

Duration : 1 hour

  • Settlement
  • Trade for Trade
  • Netted Balance Systems
  • Funding requirements

Duration : 1 hour

  • Technology
  • Global back office operations

Duration : 1 hour

  • Sarbanes-Oxley
  • USA PATRIOT Act
  • Basel II

Duration : 1 hour

  • How brokerage operations are changing globally
  • Different settlement periods for the various countries
  • International Trade
  • The role of the G30 in International Trade and Settlement
  • Global Straight-Through-Processing (Global STP)