Broker-Dealer Operations and Compliance
FINA1-CE9863
/ $450
SPRING 2012
Continuing Education:
Finance
Gain an essential understanding of the broker-dealer relationship with respect to the clearance and settlement of securities and various other broker-dealer operations, including net capital, customer protection, margin, and books and records requirements. The course features an overview of recent initiatives to clear and settle derivatives and CDS products and covers introducing and clearing arrangements, as well as the evolving field of prime brokerage. Other topics include brokerage accounting, clearance, settlement, net capital, customer protection rules, introducing and clearing operations, and prime brokerage operations.
This course is also scheduled for:
SUMMER 2012
Related Subject Areas:
Investment Banking,
Career Resources
Section 1
Sunday 9:00am-5:00pm
March 11 - March 25
no holiday
3 Sessions
Location: Washington Square
