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Books from SOF
How the U.S. Securities Industry Works, 3rd Edition
by Hal McIntyre
Securities Operations Glossary - 2015 (eBook)
by Hal McIntyre
Securities Operations Glossary - 2016 (eBook)
English to Spanish
by Hal McIntyre & Mauro Restuccia
Straight Through Processing for Financial Services Firms
edited by Hal McIntyre
Software Testing for Financial Services Firms
by Hal McIntyre, Megan Johnson, Deborah Fortuna
The Handbook of Fixed Income Technology
by Joseph Rosen and Russell D. Glisker
Other Books
Securities Processing
Derivatives
International Securities Operations
Frauds, Scams and Deceit
Good Reading
Best Sellers
NYT Business Hardcover
NYT Business Paperback


How the U.S. Securities Industry Works
by Hal McIntyre


Contents

I.

Introduction......................................................................

1

II.

Securities Industry Participants..........................................

17

III.

Regulators and Legislation...............................................

41

IV.

Creating New Securities...................................................

75

V.

Account Opening.............................................................

105

VI.

Buying and Selling Securities............................................

145

VII.

Post-Trade Processing.....................................................

215

VIII.

Broker Processing...........................................................

299

IX.

Bank Processing.............................................................

351

X.

Investment Manager Processing.......................................

375

XI.

Mutual Fund Processing...................................................

389

XII.

Equity-Related Instruments..............................................

395

XIII.

Fixed Income Instruments................................................

431

XIV.

Mutual Fund Instruments.................................................

497

XV.

Other Products...............................................................

509

XVI.

Vendors..........................................................................

515

XVII.

Industry Owned Organizations..........................................

535

XVIII.

Securities Industry Trends...............................................

563

XIX.

Industry Initiatives..........................................................

569

INDEX

...................................................................................... 584

ISBN:

978-0-9669178-9-5

Publisher: The Summit Group Press
Pages: 718
Pub Date: Oct 1, 2007
Price:

Regular price: $89.95

Quantity:




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