Introduction to Research Analysts: Rule 2711 and Professional Responsibility (Interactive)

360training.com
Training overview
Professional Course
E-learning
2 hours
From 30 USD
Start dates
Online
30 USD
Start anytime!

Course description

When a trade occurs, there are many other functions that must be performed by the brokerage firm. These functions include keeping records of each trade and receipt and delivery of funds and securities. They are normally performed by various departments within a firm, collectively referred to in the industry as 'the back office'. This course will walk the student through the functions of the back office, looking at the roles and responsibilities of its many departments.

Want to find out more?

Training content

Upon completion of this course, the student should be able to:
- List the different departments the back office includes
- Describe the rules that pertain to a successful delivery of a certificate
- Understand the special considerations associated with delivering municipal bonds
- Explain the two different sets of records for which a registered representative is responsible
- Understand the current proposed licensing requirements for back office personnel

Costs

Go the course homepage for full details on price

Why choose 360training.com?

4 million learners served worldwide

6,000+ courses to choose from

Courses cover more than 15 industries

About 360training.com

360training.com - Online courses for you

360training.com | Creating Learners for Life

360training.com (Austin, TX) works with 1500 e-learning partners who together have trained more than 3 million users worldwide. Their integrated strategy of technology, content and service helps organizations and professionals in a wide range of industries manage career, compliance, and...


Read more and show all training delivered by this supplier

Request info

Before we redirect you to this supplier's website, do you mind filling out this form so that we can stay in touch? You can unsubscribe at any time.

Contact info

Learn more!

Before we redirect you to this supplier's website, do you mind filling out this form so that we can stay in touch? You can unsubscribe at any time.

View again
Supplier Directory
Join our Supplier Directory to:
- Gain Traffic
- Get Noticed
- Showcase Your Services
- Free Listing Available