Cannon Financial Institute

Securities Operations III

This course is the third of a three part curriculum designed as a thorough education of Securities Operations in preparation for the CSOP™ exam.

Cannon’s Securities Operations education is impressive and interactive. Participants leave this curriculum with understanding and applicable skills.

This course builds on topics discussed in its predecessor.

Topics

  • Industry Facilities
  • Mortgage- Backed Securities
  • Asset- Backed Securities
  • Auction Rate Securities
  • Securities Processing
  • Operations Management
  • Global Custody
  • Foreign/ NRA Tax Withholding
  • Securities Transfer SEC Rules
  • Controls, Reconciliations, and Audit Practices and Procedures
  • CSOP Exam Review

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