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所在平台: EdxArchive 课程类别: 其他类别 大学或机构: New York Institute of Finance 授课老师： Stephen Zak |
课程主页: https://www.edx.org/archive/customer-protection-rule-15c3-3-new-york-institute-finance-cprx
课程评论：没有评论
Learn how the Customer Protection Rule, 15C3-3, safeguards customer interests and how it affects the regulatory environment within firms.
Rule15C3-3, or the “Customer Protection Rule” as it’s also known, dictates the minimum amount of securities and cash that broker-dealers must hold in secure accounts on behalf of their clients. The goal is to ensure that customers can always access a large portion of their funds, even if the firm itself becomes insolvent.
This online course provides an opportunity to learn how the three main purposes of the Rule 15C3-3 protect customer interests and how they affect the regulatory environment within firms.
We’ll begin with a high-level overview of the Regulatory Environment, and then explore the brief history of the Customer Protection Rule and its origin. We’ll then move to operations, which is a vital conversation since Rule 15C3-3 is an operations based rule. We’ll cover Settlement, Margin, Stock Record, and Financing Tools and then finally dive deep into the actual 15C3-3 rule.
This online course comprises of the following 3 modules which are packed with interesting video lectures and exercises:
