Customer Protection Rule 15C3-3

Online Course

edX
Customer Protection Rule 15C3-3

What is the course about?

Customer Protection Rule 15C3-3
The course Customer Protection Rule 15C3-3 is an online class provided by NYIF through edX. The skill level of the course is Intermediate. It may be possible to receive a verified certification or use the course to prepare for a degree.

​Learn how the Customer Protection Rule, 15C3-3, safeguards customer interests and how it affects the regulatory environment within firms.

Course 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

Prerequisites & Facts

Customer Protection Rule 15C3-3

Course Topic

Business and Management, Economics and Finance

University, College, Institution

NYIF

Course Skill Level

Intermediate

Course Language

English

Place of class

Online, self-paced (see curriculum for more information)

Degree

Certificate

Degree & Cost

Customer Protection Rule 15C3-3

To obtain a verified certificate from edX / NYIF you have to finish this course or the latest version of it, if there is a new edition. The class may be free of charge, but there could be some cost to receive a verified certificate (449.00 USD) or to access the learning materials. The specifics of the course may have been changed, please consult the provider to get the latest quotes and news.
NYIF
Customer Protection Rule 15C3-3
provided by edX

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School: NYIF
Topic: Business and Management, Economics and Finance