- NY Credits : 5.0
- TX Credits : 5.0
Introduction to Securities Brokers and Dealers
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.