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E-Learning
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.
Email: 
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 Regulators and Legislation

Provider: Securities Operations Institute
Course Code: e700
Estimated Course Time: 12 Hours
Level: SIP Level I

Select one of the following:
Individual Course Fee:
$350.00
SIP Course Fee: Included in SIP Level I

Description:
This course identifies the primary regulatory agencies and the central legislation that guides the US securities industry.

Contents:
- Securities Industry Regulation
- Securities Industry Legislation
- Self-Regulatory Organizations

Learning Objectives:
When you have completed this course you should be able to answer the following questions:
- What are the functions of the primary regulators of the securities industry?
- What are the various laws and regulations that affect the securities industry?
- What is the role of Self-Regulatory Organizations in the securities industry?
- What are the primary categories of rules that have been developed by the SROs?

Format:
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:

To receive credit for the Level 1 Credential, a minimum passing grade of 90% on the final test is required.

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.