Introduction to Brokerage Operations

Learn about brokerage operations; including the key roles and types of accounts within this field.
Introduction to Brokerage Operations
This course is archived
Estimated 4 weeks
1–2 hours per week
Self-paced
Progress at your own speed

About this course

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This course begins with an overview of brokerage operations where we’ll identify the key roles of brokerage operations and review the different types of accounts.

We’ll look at the salient features of the Customer Identification Program and review the differences between the main types of securities issues. Before wrapping up this course, we’ll get familiarized with the key components of the Security Reference File and learn the key roles of the various players within the Financial Community.

This course is part 1 of the New York Institute of Finance’s Brokerage Operations Professional Certificate program.

At a glance

What you'll learn

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  • Overview of Brokerage Operations
  • Type of Accounts
  • Client Requirements and Customer Identification Program
  • Types of Security and Processing Systems
  • Overview of the Players of the Financial Community
  • Lesson 1: Brokerage Operations: Overview
  • Lesson 2: Type of Accounts
  • Lesson 3: Client Requirements
  • Lesson 4: Customer Identification Program
  • Lesson 5: Security Types
  • Lesson 6: Processing Systems
  • Lesson 7: The Players of the Financial Community
  • Module Summary
  • Supplemental Learning

About the instructors