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Securities Operations Forum offers an exciting new e-Learning program with a comprehensive list of courses on topics across the securities industry. You can either register to take courses towards a complete Securities Industry Professional (SIP) Credential program, or take the individual e-learning courses. These e-learning courses have been developed based on our popular classroom courses and material from industry experts.
More about the SIP Credential »
Demo an E-Course!
This demo e-Course will give you a feel for the format of our e-Courses and the breadth of content in each course.
To access the e-Course, please enter your email address below and then click submit.
Seton Hall University Partnership
Securities Operations Forum has partnered with Seton Hall University to offer college course credit for our eLearning courses. Credit is available for graduate and undergraduate students, on a matriculating or non-matriculating basis.

For more information about this opportunity, click here.
E-Courses List

SIP Level:    Available In Development

  Ethical and Professional Standards
  Foreign Currency Processing
  Global Custody Processing
  International Markets and Instruments
  International Regulations and Standards
  International Securities Participants
  International Securities Processing
  Internet and Technology
  Introduction to US Trust
  Operations Risk and Compliance
  US Brokerage Processing
  US Corporate Actions Information
  US Corporate Actions Introduction
  US Corporate Actions Processing
  US Corporate Actions Types
  US Custody Processing
  US Instruments - Credit Derivatives
  US Instruments - Derivatives
  US Instruments - Equities
  US Instruments - Fixed Income
  US Instruments - Structured Securities
  US Investment Management Processing
  US Listed Equity Options
  US Margin Lending and Processing
  US Mutual Fund Processing
  US Mutual Funds Introduction
  US Regulators and Legislation
  US Securities Industry Basics
  US Securities Lending
  US Trading

Non-SIP E-Courses:

  Asset Servicing
  US Post Trade, Clearing and Settlement Processing
  US Securities Industry Participants


E-Course Description

US Post Trade, Clearing and Settlement Processing

Provider: Securities Operations Institute
Course Code: e900
Estimated Course Time: 12 Hours

Select one of the following:
Individual Course Fee:

This course provides a detailed description of the US Post Trade Process, from Allocation through Settlement. It looks at the street-side of the trade and the customer-side.

This course contains the following major modules that describe the role of the process:
- Introduction to Post-Trade, Clearing and Settlement Processing
- Post-Trade Processing
- Stock and Bond Clearing
- Stock and Bond Settlement
- Options, Derivatives and Commodity Clearing and Settlement
- Summary

Learning Objectives:
When you have completed this course you should be able to answer the following questions:
- What are the primary activities in post-trade processing?
- What is the difference between clearing and settlement?
- What are the primary entities that support the clearing processes in the US?
- How is clearing conducted in the US for different investment types?
- What are the primary entities that support the settlement process in the US?
- How is settlement conducted in the US for different investment types?

This course is organized into learning modules. There are quizzes after each module to reinforce the material presented. A final test at the end assesses the information learned from the whole course. (Test and quiz scores do not count if the learner is not registered for the SIP Credential)

SIP Credential:

Not eligible for the SIP Credential.

Validity Period:
Registration will be good for up to 1 year from the registration date. There will be a $50 fee if an extension is required.