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Course List
Introduction to the Securities Industry
 
How the Securities Industry Works
Introduction to U.S. Securities Processing
Introduction to Buy Side Securities Processing
Introduction to Investment Management
Securities Industry Basics and Trends
International Issues
 
International Securities Operations
Foreign Currency: Markets, Clearance, Settlement & Accounting
Internet and Technologies
 
Information Security for Banking & Brokerage Professionals
XML and STP - The Trading Life Cycle in a T+1 Environment
Corporate Actions
 
Corporate Actions Processing: Basic Level
Corporate Actions Processing: Advanced Level
Global Corporate Actions Processing: Basic Level
Global Corporate Actions Processing: Advanced Level
Capital Markets
 
Capital Markets Overview
Portfolio Management
 
Portfolio Management
Bond Math: Mathematics of the Fixed Income Market
Fixed Income Securities
 
Fixed Income Trading and Processing
Structured Securities: MBS, ABS, CDOs
Introduction to Fixed Income Products
Accounting for Fixed Income Securities and Derivatives
Mortgage-Backed Securities
Accounting, Regulatory & Management
 
Brokerage Accounting and Regulations
Stock Brokerage Accounting & Securities Regulations
Introduction to Margin
Introduction to Private Equity Markets
Blitz Accounting
IT Project Management for Financial Services Professionals
Derivatives
 
Derivatives: Markets, Operations, Accounting & Control
Introduction to Options: Products, Trading & Processing
Swaps Processing
Mutual Funds
 
Introduction to Mutual Funds

Course Description
Corporate Actions Processing: Basic Level
Available Dates:
Course Code: 401
Duration: 1 day
Level: Basic
Fee: $795
CPE Credits: 7
Prerequisite: No Prerequisite Required.

This seminar provides participants with a sound foundation in all aspects of U.S. corporate actions processing. Industry standards, regulatory requirements, and the time-critical environment will be emphasized. Case illustrations of current deals and trends will be examined to prepare the participant to handle a transaction from the inception of the Initial Offering Circular, through payments and distributions to clients.

Tender & Exchange Offers
* Expiration/Cutoffs
* Protects Issues
* Proration
* Liability Rules

Rights/Warrant Subscription
* Determining When Funds Are Due
* Oversubscription Entitlement

Convertible Securities
* Call Feature
* Record Dates
* Rate of Exchange
* Interest Issues

Mergers
* Process Election Options
* Rights of Appraisal

Liquidations
* Due Bill Processing
* Clearing Trades
* Record Control

Called Securities
* Debt and Equity Issues
* Determining Responsibility for the Call
* Lottery Requirements

Reverse Splits
* Interaction with other Operations Areas

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