Customer Protection Rule 15C3-3 - Online
Learn how the three main purposes of the Rule 15C3-3 protect customer interests and how they affect the regulatory environment within firms.
CPE Credits: 5 - The complete list of CPE courses can be found here.
| Program Level | Intermediate |
| Prerequisites | None |
| Advance Preparation | No advance preparation required. |
| Recent Revision Date | March 6, 2017 |
| Instructional Delivery Method | QAS Self Study |
| Field of Study | Specialized Knowledge |
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Duration : 45 Minutes
- Lesson 1: Regulatory Environment Overview
- Lesson 2: Rule 15C3-3 Reserve Formula
Duration : 2 Hours
- Lesson 1: Settlement
- Lesson 2: Custody and Asset Servicing
- Lesson 3: Margin
- Lesson 4: Stock Record
Duration : 1 Hour 30 Minutes
- Lesson 1: Rule 15C3-3 Reserve Formula
Duration : 30 Minutes