- NY Credits : 4.0
- TX Credits : 4.0
Find out about securities brokers and dealers, their functions, and how the various regulatory acts affect their activities. This fundamentals course will answer all of your questions and give you a comprehensive view of this key topic.
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.