When a trade occurs, there are many other functions that must be performed by the brokerage firm. These functions include keeping records of each trade and receipt and delivery of funds and securities. They are normally performed by various departments within a firm, collectively referred to in the industry as 'the back office'. This course will walk the student through the functions of the back office, looking at the roles and responsibilities of its many departments.
Upon completion of this course, the student should be able to:
- List the different departments the back office includes
- Describe the rules that pertain to a successful delivery of a certificate
- Understand the special considerations associated with delivering municipal bonds
- Explain the two different sets of records for which a registered representative is responsible
- Understand the current proposed licensing requirements for back office personnel
End of Course Instructions
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