- NY Credits : 5.0
- TX Credits : 5.0
Introduction to Securities Brokers and Dealers Updated
Upon successful completion of this course, the user should be able to:
identify the business reasons for and the activities of brokers and dealers in securities;
recognize how various regulatory acts affect the activities of broker/dealers;
identify customer accounts, firm trading, and reporting of broker/dealers' operations; and
identify the key differences between auditing a broker/dealer and any other commercial enterprise.