Regulation & Compliance
-
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 -
Brokerage Operations Processing: Current Trends
English Introductory
Understand how technology has impacted brokerage operations....
1 Hours $89.00$89.00 -
Brokerage Operations Processing: The Cashier's Department
English Introductory
List the function and responsibilities of the cashier's department of a brokerag...
1 Hours $89.00$89.00 -
Brokerage Operations Processing: The Margin Department
English Introductory
Understand the function and responsibilities of the margin department of a broke...
1 Hours $89.00$89.00 -
Brokerage Operations Processing: Purchase and Sales
English Introductory
List the duties of the Purchase and Sales Department in five areas: Recording, F...
1 Hours $89.00$89.00 -
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 -
Introduction to Brokerage Operations
English Introductory
Learn about the back office operations of a brokerage firm. ...
1 Hours $89.00$89.00 -
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 -
Processing Securities Transactions
English Introductory
Understand the working of the various departments within a brokerage firm and fo...
1 Hours $89.00$89.00 -
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 $1,889.00$1,889.00 -
Brokerage Accounting and Regulatory Reporting
English Introductory
Brokerage accounting and how associated regulations interact with operations....
1 Day $1,899.00From $1,519.20
To $1,329.30
-
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