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Finance
Finance
New York Institute of Finance logo

New York Institute of Finance

Customer Protection Rule 15C3-3

  • up to 5 hours
  • Intermediate

This course provides an in-depth understanding of the Customer Protection Rule 15C3-3, focusing on its impact on the regulatory environment within firms. Participants will learn how to protect customer interests and navigate the complexities of compliance, enhancing their professional skills in the financial sector.

  • Regulatory Environment
  • Customer Protection
  • Compliance Strategies

Overview

In this comprehensive course, you will explore the three main purposes of Rule 15C3-3 and their significance in protecting customer interests. Gain insights into the regulatory environment, understand the reserve formula, and learn how to manage possession or control requirements. This course is designed for professionals seeking to deepen their knowledge of financial regulations and improve their compliance strategies.

  • Web Streamline Icon: https://streamlinehq.com
    Online
    course location
  • Layers 1 Streamline Icon: https://streamlinehq.com
    English
    course language
  • Professional Certification
    upon course completion
  • Self-paced
    course format
  • Live classes
    delivered online

Who is this course for?

Brokerage Accounting Personnel

Individuals involved in the accounting aspects of brokerage firms, focusing on compliance and regulatory requirements.

Compliance and Legal Personnel

Professionals responsible for ensuring that firms adhere to legal standards and regulations.

System Developers

Developers working on systems that need to comply with financial regulations and customer protection rules.

Why should you take this course?

Finance

Enhance your understanding of financial regulations with this course on Rule 15C3-3. Ideal for professionals in accounting, compliance, and system development, it offers key insights into customer protection and regulatory compliance, helping you advance your career in the financial sector.

Pre-Requisites

1 / 1

  • None

What will you learn?

Introduction
Overview of the regulatory environment and the Rule 15C3-3 Reserve Formula.
Operations
Detailed exploration of settlement, custody and asset servicing, margin, and stock record.
Rule 15C3-3 Reserve Formula
In-depth analysis of the Rule 15C3-3 Reserve Formula and its application.
Final Exam
Assessment of the knowledge gained throughout the course.

Upcoming cohorts

  • Dates

    start now

$449