Equities Trading Intensive

This two-day program introduces technology professionals, investors, prospective traders, and anyone interested in the stock market to the basics of trading in the over-the-counter and listed equity markets. It includes a discussion of systems, players and their roles, trading fundamentals, market psychology, the role of options and other hedging vehicles, as well as the relevant Nasdaq/OTC and listed rules and regulations that apply to both investors and professional traders. This class is not only an invaluable introduction to the equities business, but should serve as a first step to becoming a successful, disciplined, savvy, and profitable stock trader.

On day one, we lay the foundation of the equity markets, and discuss the rules and regulations that govern the markets and the players in the marketplace. Once we have this base to build upon, we can fully appreciate the structural issues and marketplace nuances that are vital to successful and profitable equity trading - covered on the second day. The class also provides an excellent opportunity to address some of the topics covered by the Series 55 (equity trader) licensing exam, for those participants who intend to pursue opportunities in market making.



Technology professionals, new traders - or those thinking of getting into the business. Anyone who needs to interact with stock traders - who needs to learn the material covered on the Series 55 exam (equity trader) in a purely applied environment.
No advance preparation required.
Students will be able to:
  • Discuss the ''new world'' of equity trading - not day trading, but smart trading
  • Interpret the rules and regulations ESSENTIAL for industry experts
  • Catch up with the latest developments and technologies
  • Analyze trading scenarios using current examples from the markets
None. An interest in the stock market is vital.
"Excellent course for introductory-level knowledge of trading."
"Very useful material; especially with the variety of equity related products out there."
"The instructor has very strong industry knowledge."
DAY 1: Overview of the Equity Marketplace
Market Participants
  • Issuers
  • Investors
  • Brokerage Firms
  • Institutions
  • Banks
  • Industry Service Organizations

Exchange Structure

  • Order types

The Execution of Domestic Equity Transactions

  • Rules and Regs

DAY 2: Equity Trading: Strategies and Analysis
Risk Management

    Trading Strategies

      The Basics of Technical and Fundamental Analysis

        An analysis of trades and recent trends

          New Technology

            Clearance, Settlement, Prime Brokerage, & Stock Loan

Clients who register for this course will receive a complimentary 6 month subscription to the Financial Times and FT.com. The Financial Times is the world's most respected financial newspaper providing a broad assessment on finance, business and the industrial sector. Subscriptions will start within 6-8 weeks of the application process, and are limited to one per client. For questions about your subscriptions call 800-628-8088 or email uscirculation@ft.com. US and Canada enrollees only.

Lunch included for all students taking day classes.