Introduction to Brokerage Operations

This course begins with an overview of brokerage operations where we’ll identify the key roles of brokerage operations and review the different types of accounts.

We’ll look at the salient features of the Customer Identification Program and review the differences between the main types of securities issues. Before wrapping up this course, we’ll get familiarized with the key components of the Security Reference File and learn the key roles of the various players within the Financial Community.

This course is part 1 of the New York Institute of Finance’s Brokerage Operations Professional Certificate program.

• Lesson 1: Brokerage Operations: Overview
• Lesson 2: Type of Accounts
• Lesson 3: Client Requirements
• Lesson 4: Customer Identification Program
• Lesson 5: Security Types
• Lesson 6: Processing Systems
• Lesson 7: The Players of the Financial Community
• Module Summary
• Supplemental Learning