FINRA Compliance FINRA and Back Office Functions (Interactive)

FINRA and Back Office Functions (Interactive)

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 2 


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.


Course Objectives

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

Congratulations! You have successfully completed your online course; you may now print your certificate(s) online from your default login page (you may need to refresh this page)


Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.



You will be required to pass the final exam with a 70% in order to receive course credit.


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