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 (e.g., NASD, OTC)


In today's market, the key to advancement is a solid understanding of all aspects of the operations processing flow. This holds true for both Operations Professionals and Operations service providers - whether you are an accountant, attorney, technologist, auditor, consultant, or manager working in the brokerage industry, your success requires an understanding of trade flow and Operations processing.


brokerage101.com is intended for those new to the world of Brokerage Operations, or new to a particular department, product or process within Operations. It is written in easy to understand language and provides detailed explanations and examples to assist your understanding.


Topics are presented in a progressive manner so that each new topic introduced builds on or incorporates the information learned in earlier discussions. Lessons begin with an overview of Brokerage Operations. Next, you will be introduced to the different types of investment securities processed by the brokerage industry. As your learning progresses you will be introduced to more advanced topics such as Trade Comparison and Clearance. Finally, we will analyse each processing department within Brokerage Operations and discuss the role that each play's within the overall processing environment.


The authors of brokerage101.com have a combined experience of over 40 years in Brokerage Operations processing. Information presented in the topical discussions are based on actual, hands on experience.

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