FINRA and Back Office Functions (Interactive)
Enroll in Just This Course - $25.00
- Course Delivery: On Demand
- Duration: 2
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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