Customer Protection Rule 15C3-3
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- Rule15C3-3, or the âCustomer Protection Ruleâ as itâs 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. Weâll begin with a high-level overview of the Regulatory Environment, and then explore the brief history of the Customer Protection Rule and its origin. Weâll then move to operations, which is a vital conversation since Rule 15C3-3 is an operations based rule. Weâll 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: Module 01: Introduction Module 02: Operations Module 03: Rule 15C3-3 Reserve Formula
- USD 449