Cannon Financial Institute

Securities Operations III

This course concludes a three-part series with a focus in the areas of trust operations and securities processing responsibilities.

This curriculum not only explains how brokers process securities but also how brokers, banks, trust companies and investment managers do their jobs and how each works with the other.  Students learn how securities are created and distributed through the OTC market, the Stock Exchange, and the Alternative Trading Systems.

Students should have successfully completed Securities Operations I and Securities Operations II before registering for Securities Operations III. Those seeking the CSOP™ designation may have additional exam requirements. 

Course materials may include our Cannon Concepts for Professionals textbook ($50*). This course concludes with a comprehensive exam. *Prices may vary when purchased separately.    

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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