Learn how the Customer Protection Rule, 15C3-3, safeguards customer interests and how it affects the regulatory environment within firms.
Understand what you need to succeed in this course and determine if it's the right fit for your learning goals
What you need before starting this Customer Protection Rule 15C3-3 course:
Beginner-Friendly Course!
This course is designed for absolute beginners. No prior knowledge needed.
This course is perfect for:
Everything you need to know about this online course, from duration to certification
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
Difficulty Level
Intermediate
Some foundational knowledge required
Subject Category
Business & Management, Economics & Finance
Part of our Business & Management, Economics & Finance curriculum
Course Language
English
All materials in English
This online course offers comprehensive training with expert instruction, practical exercises, and a certificate of completion. Join thousands of students advancing their careers through quality online education.
Comprehensive Program
Professional training from $449
Pricing may vary. Check the course provider for current promotions and exact pricing.
Customer Protection Rule 15C3-3 isn't for you? Don't worry, explore these courses and advance your skills or learn something totally new.