Brokerage Accounting

ITEM AATX0107

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Brokerage Accounting

Examine how a brokerage firm records and reflects the range of trades, security movements, cash movements and adjustment activities on their internal accounting system. As part of our focus we explore how these internal records are used to satisfy financial and regulatory reporting requirements. Topics to be addressed include trade calculation, income processing, margin, segregation controls

CPE Credits: 14

Curriculum

What you'll learn

Who should take this

Module 1: THE BASICS

Terminology & Definitions
Typical securities transaction
General Ledger

Module 2: BROKER / DEALER FINANCIAL ACCOUNTING

Typical Organization Structure
Front Office
Middle Office
Back-Office
Books & Records
Brokerage Accounting
Analysis of Relevant Transactions
Margin requirements

Module 3: STOCK RECORD ACCOUNTING

Concepts
Terminology

Module 4: REGULATORS & MAJOR REGULATIONS:

Historical Overview
Regulatory Infrastructure
FOCUS
SEC Uniform Net Capital Rule
SEC Customer protection Rule

Customize Brokerage Accounting

Session

Future Session... + $0.00

Quantity

Early Booking Savings

5 months (20% off) - $283.80

3 months (10% off) - $141.90

* Required Fields

Your Customization

Brokerage Accounting

In stock

$1,419.00

Summary

Brokerage Accounting

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in the field.

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in the field.

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in the field.

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in a valid email and phone number.

Select preferred contact method

Please fill in the field.

Where Wall Street Goes to SchoolTM!

Please select a time and date from the calendar to book a 15-minute call with a NYIF Career Advisor.

You can also reach us on +1 347 842 2501 or marketing@nyif.com

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Brokerage Accounting

Easy monthly payments

Real-world applications of brokerage accounting

Brokerage Accounting

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in the field.

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in the field.

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in the field.

Please complete this form and a NYIF Career Advisor will assist you.

Please fill in a valid email and phone number.

Select preferred contact method

Please fill in the field.

Where Wall Street Goes to SchoolTM!

Please select a time and date from the calendar to book a 15-minute call with a NYIF Career Advisor.

You can also reach us on +1 347 842 2501 or marketing@nyif.com

Something went wrong, please try again later!

Brokerage Accounting

Easy monthly payments

Day 1