Intensive Introduction to the Securities Industry
January 17, 2012
Registration Fee: US$895.00 Register Location Instructor
Many classes sell-out; we suggest registering at least one week in advance to ensure your seat.
Beginner/Intermediate Level, 7 CPE Credits
Instructor: Jerry O'Connell
Hours: 9:00 am - 4:30 pm; Registration/Breakfast begins at 8:30 am
Location: New York City, Bayard's, One Hanover Square
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 basic characteristics of the six major 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.
Course Outline
Fundamentals
--Significant Events
Participants
--Issuers
--Buy-side
--Sell-side
--Financial Services Firms
--Industry Utilities
--Industry Service Organizations
Products
--Bonds
--Equities
--Derivatives
--Funds/Trust
--Commodities
--Currencies
Components of a securities firm
--Front Office
--Middle Office
--Back Office
--Books & Records Reporting
--Firm Financial Reporting
Exchanges / marketplaces
--Regulated Exchanges
--Over the Counter
--Alternative Trading Systems
GOVERNANCE
--Regulators
--Significant Regulations
--Self-Regulatory Organizations