Instructor: Jerry O'Connell, CEO, Jeremiah Associates LLC
Hours: 9:00 am - 4:30 pm; Registration/Breakfast begins at 8:30 am

The Intensive Introduction to the Securities Industry class is a highly interactive one-day session that will provide a solid perspective on this critical and still evolving industry. Beginning with a review of the significant events that have influenced investor investments, products and regulation, we continue with an examination of the primary participants and their roles. Products are next on the agenda, where we explore the three main asset classes.

We continue on with an examination of the components of a securities firm, marketplaces where securities trade and the regulatory infrastructure in the US. Throughout the class there will be points where we will discuss the drivers of certain practices, their effectiveness and what value they contribute to the industry. Participants will be encouraged to pursue related issues of interest.

v  FUNDAMENTALS
    -- Significant Events

v  PARTICIPANTS
    -- Issuers
    -- Buy-side
    -- Sell-side
    -- Financial Services Firms
    -- Industry Utilities
    -- Industry Service Organizations

v  PRODUCTS
    -- Bonds
    -- Equity
    -- Funds/Trust

v  COMPONENTS OF A SECURITIES FIRM
    -- Front Office
    -- Middle Office
    -- Back Office
    -- Books & Records Reporting
    -- Firm Financial Reporting

v  EXCHANGES / MARKETPLACES
    -- Regulated Exchanges
    -- Over the Counter
    -- Electronic Markets

v  GOVERNANCE
    -- Regulators
    -- Significant Regulations
    -- Self-Regulatory Organizations