Regulation & Compliance
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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 -
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 -
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 -
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 -
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$1,090.00From $872.00
To $763.00
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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 -
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 -
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 -
Dodd-Frank Act
English Introductory
This course provides the key information about the financial reforms that are co...
1 Hours$59.00$59.00 -
Trading Index Options
English Introductory
Learn the ins and outs of index option trading with both cash and margin account...
1 Hours$99.00$99.00 -
Cash Account Option Transactions
English Professional
Learn about trading long and short options in cash accounts....
1 Hours$99.00$99.00 -
International Operations
English Introductory
Illustrate the developments in brokerage operations outside the US and in emergi...
1 Hours$99.00$99.00 -
Brokerage Operations Processing: New Regulations
English Introductory
Describe the new regulations for brokerage operations that have arisen in the fi...
1 Hours$99.00$99.00 -
Brokerage Operations Processing: Current Trends
English Introductory
Understand how technology has impacted brokerage operations....
1 Hours$99.00$99.00 -
Brokerage Operations Processing: The Cashier's Department
English Introductory
List the function and responsibilities of the cashier's department of a brokerag...
1 Hours$99.00$99.00 -
Brokerage Operations Processing: Purchase and Sales
English Introductory
List the duties of the Purchase and Sales Department in five areas: Recording, F...
1 Hours$99.00$99.00 -
Brokerage Operations Processing: The Order Room
English Introductory
Describe the processes that happen in the Order Room of a brokerage firm. ...
1 Hours$99.00$99.00 -
Introduction to Brokerage Operations
English Introductory
Learn about the back office operations of a brokerage firm. ...
1 Hours$99.00$99.00 -
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 -
Processing Securities Transactions
English Introductory
Understand the working of the various departments within a brokerage firm and fo...
1 Hours$99.00$99.00 -
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$1,690.00From $0.00
To $2,090.00
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Brokerage Accounting and Regulatory Reporting
English Introductory
Brokerage accounting and how associated regulations interact with operations....
1 Day$2,090.00From $1,672.00
To $1,463.00
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Brokerage Operations
English Introductory
Understanding multiple aspects of brokerage operations and the impact of Dodd Fr...
2 Days$2,090.00From $1,672.00
To $1,463.00
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Basel III: Challenges for Emerging Markets
English Introductory
This course reviews the impact and implementation challenges of the Basel framew...
2 Days$1,890.00From $1,512.00
To $1,323.00
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Customer Protection Rule 15c3-3
English Professional
Learn how the three main purposes of the Rule 15c3-3 protect the customer intere...
1 Days$1,390.00From $1,112.00
To $973.00
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Risk Regulation: The Dodd-Frank Act
English Professional
This course is a comprehensive review of the objectives and regulations of the D...
2 Days$1,990.00From $1,592.00
To $1,393.00