Customer Protection Rule 15c3-3 of the SEC

The course will review the details of the Customer Protection Rule 15c3-3 of the SEC.  It will go into detail as to how contents of a customer’s account, portfolio positions and money balances, are required to be protected by the securities industry.  It will also detail how various calculations are preformed on a daily, weekly and monthly basis to insure this protection.  It will define specifics of what protection means and how it is achieved in the broker/dealer community.  Our instructor is Mark Axelrod, and his bio can be seen here.

Mortgage-Backed Securities:
 An Introduction to Securitization and Processing

This one-day seminar provides a high level introduction to Mortgage Backed Securities. The primary focus of the program will be to give financial services employees an understanding of the origination, securitization, second market trading and post trade processing characteristics of agency MBS. Coverage will entail a review of pertinent terms and definitions, descriptions of the securities features and characteristics, as well as some discussion of industry conventions regarding trading and post trade processing.  This class is geared for members of the financial services industry that are new to the MBS marketplace and needs and understanding of what mortgage-backed securities are and how the marketplace operates.
Our instructor, Mr. William Corrigan has been working in the financial services arena for the past fifteen years and continues to be sought after for his product management and fixed income expertise, his complete bio can be seen here.