Function 4
Function 4: Completing Transactions in the Securities Industry
This course focuses on the processes and regulations related to completing transactions in the securities industry, ensuring that financial professionals can execute trades and transactions efficiently and in compliance with industry standards.
- Trade Execution and Settlement: Learn the steps involved in executing trades, including order types, trade confirmations, and the settlement process, from trade date (T+1, T+2) to completion.
- Clearing and Custody: Understand the roles of clearing firms and custodians in facilitating the transfer of securities and funds, and how they ensure the safe custody of assets.
- Compliance and Reporting: Explore the regulatory requirements for transaction reporting, trade reconciliation, and maintaining accurate records in accordance with SEC and FINRA rules.
This course is designed for those involved in trading, settlement, and the back-office operations of financial firms, ensuring they have the knowledge to manage transactions and stay compliant with industry regulations.
Prepare for the Series 7 Exam with our specialized module focused on managing and verifying transactions. Learn to obtain and verify customers’ pur...
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