Brokerage Operations Professional Certificate: Online

New York Institute of Finance

ITEM RGCO0202X

Self Paced Course

Available Now
Online

$1,299.00

video_library

Online (Self-paced)

update

20 Hours

language

English

school

Introductory

Virtual Series Course

Available Now
Virtual (Part-Time)

$1,299.00

video_library

Online (Self-paced)

update

20 Hours

language

English

school

Introductory


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17

Brokerage Operations Professional Certificate: Online

This course will provide you with the baseline knowledge of the entire trade lifecycle from the point of execution to clearance and settlement.

CPE Credits: 20 - The complete list of CPE courses can be found here.

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

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Duration : 4 Hours

  • Brokerage Operations: Overview
  • Type of Accounts
  • Client Requirements
  • Customer Identification Program
  • Security Types
  • Types of Issues
  • Processing Systems
  • The Players of the Financial Community

Duration : 2 Hours 45 Minutes

  • Introduction to the Marketplace
  • A Timeline of the U.S. Equity Market
  • Over the Counter Market
  • Order Management System
  • The New Order Trading Process
  • Bond Secondary Markets: Discussion

Duration : 1 Hour 45 Minutes

  • Trade Processing Function
  • Trade Confirmation Contents

Duration : 45 Minutes

  • Introduction to Clearing Corporation
  • NSCC and Most Other Clearing Corps
  • Option Clearing Corporation
  • Government Security Division of FICC

Duration : 3 Hours

  • Trade Processing Function
  • Understanding Settlement
  • Settlement Financing Tools

Duration : 1 Hour

  • Introduction to Custody and Asset Servicing

Duration : 2 Hours 30 Minutes

  • Introduction to Margin

Duration : 30 Minutes

  • Introduction to Cash and Brokerage Accounting

Duration : 1 Hour

  • Introduction to Stock Record

Duration : 4 Hours 30 Minutes

  • Introduction to General Ledger
  • FOCUS- Financial and Operational Combined Uniform Standard
  • Supplement eLearning Courses

Duration : 1 Hour 30 Minutes

  • Final Exam