Corporate Training Partners

Brokerage Industry Basics is designed for employees who want to understand what is done in all the different departments in Operations. Such employees may be new or just limited in their experience and knowledge.

Learning Products and Services to Fit Your Needs!

Needs	Options
Delivery methods	By Corporate Training Partners, Inc.. By your own instructor.
Course content	Fictional brokerage firm. Customized to your company’s processes, departments and forms.
Customization Services	By Corporate Training Partners, Inc. By your own course developers.
Additional services	Train the trainer development process for your instructors. Custom student assessment instruments. Implementation project planning and management.

Course Objectives

The ultimate course objective is for participants to be able to explain the context in which their job fits into the business of your company.

The specific course objectives are:

Identify the competitive forces in the financial services industry that drive the need for Operations to deliver outstanding service.

Feel compelled to provide outstanding service to help your company thrive within this competitive environment.

List the main actions taken for a client to open an account with a brokerage firm.

List examples of the actions taken automatically by your computer system after an account has been set up.

List the steps to receive a stock certificate from a client and deposit it to DTC.

Explain the relationship between a transfer agent, an issuer and shareholders.

Explain the relationship between depository, brokerage and client security positions.

Explain the role of the NSCC in comparing the street side of agency trades.

Explain the actions taken by a brokerage firm to execute, compare and settle both sides of an agency transaction.

Identify the information related to the purchase of stock in a computer system and on the related client statement.

List the names and functions of the regulatory bodies that produce rules, regulations and guidelines to which a brokerage firm must comply.

Use a diagram to explain how the Operations departments fit together.

Given an Operations department’s name and overview, state the primary process or function of that department.

List career opportunities available to employees who excel in their jobs.

The Agenda for a Seven-Hour Course

How you fit into the Securities Industry
The Client Perspective: Competition in Financial Services
Opening a New Account
The Role of the Transfer Agent
How We Receive a Stock Certificate
How NSCC & DTC workHow the Operations Departments Fit Together
How We Buy Stock for Our Clients
The Regulators and What They Do
Operations – Who Does What?
Career Opportunities

Complete Course Materials – You’re Ready to Deliver Quickly!

Leader’s Guide	A complete script: Introductions, lecturettes to accompany graphics, questions, expected responses, instructions to activities, summaries, and transitions. Icons directing the instructor to the Overhead, Flip Chart, or Handout - for easy reference during class Objectives and key points for all modules. Materials checklists for easy class preparation Timing outlines to monitor your progress and stay on track during class.
Instructor Tool Kit	Overheads. Flip Chart Masters. Tickets, cards, flags – all the materials needed for class activities.
Participant Workbook Master	You start with computer files for easy production of a reproducible original. Your employees walk away with valuable job aids and reference material.
Marketing materials	Course description. Model memos for student and supervisor notification.
Participant Centered Design	This course has been designed to promote learning, not present content. The constant focus in the classroom is on the students and their activity, not the instructor. Consequently, this course is fast-paced and employs a variety of active learning techniques to appeal to adult learners.

All materials are provided as Microsoft Word and PowerPoint ® files for easy customization and reproduction.

Pricing

Product / Service	What’s included?	Investment
Brokerage Industry Basics Seminar	Seminar delivered by Corporate Training Partners, Inc.	$2,000 per day professional fee $20 per person materials fee Instructor’s expenses for travel, food and lodging. Training space, equipment and all logistical support of students provided by the client.
Self-Delivery Capacity	Electronic files and unlimited reproduction rights, both print and electronic, for internal use. Leader’s Guide, overheads, flip chart models, student workbook, in-class handouts, other student materials. All files are in MS Word and MS PowerPoint formats.	$14,000
	Implementation support. One day of instructor training. Five hours of phone support for the instructor. One 45 minute executive briefing.	No professional fee. Instructor’s expenses for travel, food and lodging.
	Internal marketing materials Course description; model memos to participants and supervisors.	No fee
	Implementation project outline	No fee
Customization – Level 1	Customization of all Workbook, overheads, flip charts, to fit your organization’s processes, forms, philosophy, etc.	$12,000
Customization – Level 2	Customization of materials listed in Level 1, plus Leader’s Guide	$15,000
Class Materials	All physical materials needed. Overheads; Game materials; printed handout originals; printed workbook originals; Workbook sample; printed Leader’s Guide; 1 set of complete pre-class research packets.	$2,000 plus shipping and handling.
Train the Trainer	Train the trainer - on site instruction and coaching.	Days on site (in excess of the one day included in purchase of delivery capacity) - $2,000 per day plus Instructor’s expenses for travel, food and lodging. Each day includes 3 hours of phone support in addition to the one day on site.
Project planning	Development of a detailed implementation project plan. Project management and consulting services.	Fee quoted on a project basis.
Assessments	Customized student assessments.	Fee quoted on a project basis.