Available Dates:
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| Course Code: 700 |
| Duration: 1 day |
| Level: Basic |
| Fee: $795.00 |
| CPE Credits: 7 |
| Prerequisite: No Prerequisite Required. |
Participants in this seminar will receive a comprehensive foundation in all of the key aspects involved in brokerage accounting. It is an excellent seminar for accountants and audit personnel new to the securities industry and for more experienced operations and systems staff desiring an understanding of these vital financial aspects of our business.
Overview of Trade Processing Flow
Financial Accounting for Broker/Dealers
Stock Record Accounting
Analysis of All Relevant Transactions
- Fails to Receive and Deliver
- Stock Borrows & Loans
- Short Sales
- Options
Analysis of Margin Requirements
Introduction to Net Capital & Customer Protection Rules
Please bring a calculator.
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