Regulation & Compliance

Items 13-24 of 27

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2 3 4
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  1. Brokerage Operations Processing: New Regulations

    English Introductory

    Describe the new regulations for brokerage operations that have arisen in the fi...

    1 Hours $89.00
    $89.00
  2. Brokerage Operations Processing: Current Trends

    English Introductory

    Understand how technology has impacted brokerage operations....

    1 Hours $89.00
    $89.00
  3. Brokerage Operations Processing: The Cashier's Department

    English Introductory

    List the function and responsibilities of the cashier's department of a brokerag...

    1 Hours $89.00
    $89.00
  4. Brokerage Operations Processing: Purchase and Sales

    English Introductory

    List the duties of the Purchase and Sales Department in five areas: Recording, F...

    1 Hours $89.00
    $89.00
  5. Brokerage Operations Processing: The Order Room

    English Introductory

    Describe the processes that happen in the Order Room of a brokerage firm. ...

    1 Hours $89.00
    $89.00
  6. Introduction to Brokerage Operations

    English Introductory

    Learn about the back office operations of a brokerage firm. ...

    1 Hours $89.00
    $89.00
  7. Fundamentals of Brokerage Operations

    English Introductory

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

    8 Hours $489.00
    $489.00
  8. Processing Securities Transactions

    English Introductory

    Understand the working of the various departments within a brokerage firm and fo...

    1 Hours $89.00
    $89.00
  9. 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 $1,889.00
    $1,889.00
  10. Brokerage Accounting and Regulatory Reporting

    English Introductory

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

    1 Day $1,899.00

    From $1,519.20

    To $1,329.30

  11. Introduction to Stress Testing

    English Professional

    This course surveys the tools and techniques employed in conducting stress tests...

    1 Day $1,219.00
    $1,219.00
  12. Brokerage Operations

    English Introductory

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

    2 Days $1,899.00

    From $1,519.20

    To $1,329.30

Items 13-24 of 27

Page
2 3 4
per page
Set Descending Direction