Regulation & Compliance
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Sale
Brokerage Operations Processing: New Regulations
English Introductory
Describe the new regulations for brokerage operations that have arisen in the fi...
1 Hours$99.00 $79.20Special Price $79.20 Regular Price $99.00 -
Sale
Brokerage Operations Processing: Current Trends
English Introductory
Understand how technology has impacted brokerage operations....
1 Hours$99.00 $79.20Special Price $79.20 Regular Price $99.00 -
Sale
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 $79.20Special Price $79.20 Regular Price $99.00 -
Sale
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 $79.20Special Price $79.20 Regular Price $99.00 -
Sale
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 $79.20Special Price $79.20 Regular Price $99.00 -
Sale
Introduction to Brokerage Operations
English Introductory
Learn about the back office operations of a brokerage firm. ...
1 Hours$99.00 $79.20Special Price $79.20 Regular Price $99.00 -
Sale
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 $472.00Special Price $472.00 Regular Price $590.00 -
Sale
Processing Securities Transactions
English Introductory
Understand the working of the various departments within a brokerage firm and fo...
1 Hours$99.00 $79.20Special Price $79.20 Regular Price $99.00 -
Sale
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 $1,672.00$1,672.00 Regular Price $2,090.00 -
Sale
Brokerage Accounting and Regulatory Reporting
English Introductory
Brokerage accounting and how associated regulations interact with operations....
1 Day$2,090.00 $1,672.00From $1,337.60 Regular Price $1,672.00
To $1,170.40 Regular Price $1,463.00
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Sale
Brokerage Operations
English Introductory
Understanding multiple aspects of brokerage operations and the impact of Dodd Fr...
2 Days$2,090.00 $1,672.00From $1,337.60 Regular Price $1,672.00
To $1,170.40 Regular Price $1,463.00
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Sale
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 $1,512.00From $1,209.60 Regular Price $1,512.00
To $1,058.40 Regular Price $1,323.00