Processing Securities Transactions - Online

This online version of Fundamentals of the Securities Industry provides a broad perspective of the workings of Wall Street and the securities industry. It focuses on the products, markets, vocabulary, and players, the primary and secondary markets for securities including investment banking, the stock exchanges and over-thecounter transactions, margin, settling, clearing, and industry regulations. Essential for newcomers to the securities industry, this course is also helpful to industry employees facing increased responsibilities.

This is the same content as module 5 of the online course 'Fundamentals of the Securities Industry'

This is an asynchronous eLearning course that can be accessed 24/7 from any internet enabled computer.

Available TodayOnlineUSD$60.00
Instructional Method:
Self-Study
Level: Introductory
CPE Credits: 1

Newcomers to the securities industry, traders, salespeople, back office professionals, staff assistants, compliance staff, auditors and IT professionals.
No advance preparation required.
Students will be able to:
  • Understand the processing and approval procedures
  • Identify the functions of back office departments
  • Understand the key dates in a settlement
Processing Securities Transactions
  • Understand the processing and approval procedures
  • Identify the functions of back office departments
  • Understand the key dates in a settlement