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Fundamentals of the Securities Industry

New York Institute of Finance

ITEM CRCN_1017

Self Paced Course

Available Now
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$489.00

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8 Hours

language

English

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Introductory


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17

Fundamentals of the Securities Industry

Overview of the products, vocabulary, primary and secondary markets for securities, including investment banking, stock exchange, OTC transactions, margin, settling and clearing.

CPE Credits: 8 - The complete list of CPE courses can be found here.

Program Details (NASBA) View
Program Level Basic
Prerequisites This course has no prerequisites
Advance Preparation No advance preparation required
Recent Revision Date May 27, 2014
Instructional Delivery Method QAS Self Study
Field of Study Management Advisory Services

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Duration : 1 hour

  • Gain a basic understanding of the investment world and the Securities Industry
  • Understand the role of Primary and Secondary Markets

Duration : 2 hours

  • Identify the basic characteristics of common stock
  • Read and comprehend stock quotations
  • Identify the characteristics and types of preferred stock
  • Identify various Equity-linked products

Duration : 2 hours

  • Identify the basic features of corporate, U.S. government, and municipal bonds
  • Read and comprehend bond credit ratings and yields
  • Identify different government securities

Duration : 2 hours

  • Understand the difference between exchange and OTC markets
  • Identify the types of orders available to market participants
  • Understand the complex investment strategies

Duration : 1 hour

  • Understand the processing and approval procedures
  • Identify the functions of back office departments
  • Understand the key dates in a settlement