CIMA®, CPWA®, CIMC®, and RMA℠ Eligible

Duration: 1 Hour

Option 1: Thursday, March 11^th at 3:00pm ET

Option 2: Friday, March 12^th at 3:00pm ET

This session will be interactive with discussion and Q&A.

Course Description

This course provides a broad and basic perspective of brokerage operations covering Global Markets across a range of products, functions and services. Topics will include the life cycle of securities transactions from execution through clearance/settlement and custody, as well as critical client service and operations risk management functions. Operations will be discussed from both a macro industry perspective and the inner workings of individual broker/ dealers.

Learning Objectives:

• Develop a basic understanding of brokerage operations
• Describe the life cycle of a standard trade in Fixed Income and Equities
• Understand how regulations impact the brokerage industry