Processing Securities Transactions
This module provides a look at all the different departments that are required to make a brokerage firm tick and then follow a security through its clearance and settlement process.
CPE Credits: 1
Program Details (NASBA) View
| Program Level | Basic |
| Prerequisites | This course has no prerequisites |
| Advance Preparation | No advance preparation required |
| Recent Revision Date | May 27, 2014 |
| Instructional Delivery Method | QAS Self Study |
| Field of Study | Management Advisory Services |
Learn now pay later with
To make it even easier to learn, you can finance your program through Affirm.
Loans offered through Affirm are available in the U.S. and Canada.
Duration : 1 hour
- Understand the processing and approval procedures
- Identify the functions of back office departments
- Understand the key dates in a settlement