In this Professional Certificate program you will gain a good understanding of the trade lifecycle and how the trade settlement process relates to other parts of the broker dealer, such as finance and regulatory reporting.
We will review the industry participants and utilities such as the clearing corporations and how they are an integral part of the operations process. We will also discuss the changes in the marketplace and trade execution venues and how those changes have affected the trade settlement process.
NOTE: Completing all 3 parts and then taking the Professional Certificate Examination is MANDATORY to achieve both the NYIF Certificate of Mastery and the edX Professional Certificate in Brokerage Operations. A verified learner must pass all courses in the program with a minimum grade of 70% to earn a Professional Certificate for Brokerage Operations.