Regulation & Compliance

15 Items

2 3 4
per page
Set Descending Direction
  1. Series 79 Exam Prep Package: Online

    English Introductory

    Prepare to pass the Series 79 Exam with 65 hours of online study materials cover...

    65 Hours
    $349.00
    $349.00
  2. Series 63 Exam Prep Package: Online

    English Introductory

    Prepare to pass the Series 63 Exam with 45 hours of online study materials cover...

    45 Hours
    $149.00
    $149.00
  3. Series 66 Exam Prep Package: Online

    English Introductory

    Prepare to pass the Series 66 Exam with 56 hours of online study materials cover...

    56 Hours
    $185.00
    $185.00
  4. Series 7 Exam Prep Package: Online

    English Introductory

    Prepare to pass the Series 7 Exam with 78 hours of online study materials coveri...

    78 Hours
    $289.00
    $289.00
  5. Data Governance in Financial Services & the Impact of Global Regul...

    English Professional

    Driven by the massive increase in the global regulatory environment, this is a c...

    1 Day
    $1,090.00

    From $872.00

    To $763.00

  6. Customer Protection Rule 15C3-3 - Online

    English Professional

    Learn how the three main purposes of the Rule 15C3-3 protect customer interests ...

    5 Hours
    $490.00
    $490.00
  7. Brokerage Operations Professional Certificate: Online

    English Introductory

    This course will provide you with the baseline knowledge of the entire trade lif...

    20 Hours
    $1,390.00
    $1,390.00
  8. Online Professional Certificate in Operations and Compliance

    English Professional

    Learn the latest developments in trade processing and systems that enable firms ...

    72 Hours
    $1,990.00
    $1,990.00
  9. Fundamentals of Brokerage Operations

    English Introductory

    Explain how orders move from the order room to purchase and sales and finally to...

    8 Hours
    $590.00
    $590.00
  10. Capital Markets 101: Market Structure, Products and Regulatory Trends

    English Introductory

    This course will introduce participants to various types of securities and produ...

    2 Days
    $2,090.00

    From $0.00

    To $2,090.00

  11. Brokerage Accounting and Regulatory Reporting

    English Introductory

    Brokerage accounting and how associated regulations interact with operations....

    1 Day
    $2,090.00

    From $1,672.00

    To $1,463.00

  12. Brokerage Operations

    English Introductory

    Understanding multiple aspects of brokerage operations and the impact of Dodd Fr...

    2 Days
    $2,090.00

    From $1,672.00

    To $1,463.00

  13. Basel III: Challenges for Emerging Markets

    English Introductory

    This course reviews the impact and implementation challenges of the Basel framew...

    2 Days
    $1,890.00

    From $1,512.00

    To $1,323.00

  14. Customer Protection Rule 15c3-3

    English Professional

    Learn how the three main purposes of the Rule 15c3-3 protect the customer intere...

    1 Days
    $1,390.00

    From $1,112.00

    To $973.00

  15. Risk Regulation: The Dodd-Frank Act

    English Professional

    This course is a comprehensive review of the objectives and regulations of the D...

    2 Days
    $1,990.00

    From $1,592.00

    To $1,393.00

15 Items

2 3 4
per page
Set Descending Direction