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Customer Protection Rule 15C3-3

Customer Protection Rule 15C3-3

?Learn how the Customer Protection Rule, 15C3-3, safeguards customer interests and how it affects the regulatory environment within firms.
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Course Website
www.edx.org
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Description

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:

  • Module 01: Introduction
  • Module 02: Operations
  • Module 03: Rule 15C3-3 Reserve Formula

Pricing:
Free
Level:
Intermediate
Duration:
2 weeks, 2h-3h/week
Educator:
Stephen Zak
Organization:
NYIF
Submitted by:
Coursearena
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