Course Code: 101

Duration: 2 days

Level: Basic

Fee: $1395

Instructor: Peter Patch / Charlotte Scott

CPE Credits: 14

Prerequisite: No Prerequisite Required

This seminar is designed for people new to the securities industry or who desire a broader industry background. It is designed to introduce all of the important concepts in securities processing and forms a basis for other SOF courses. Upon completion of the program, participants will have a comprehensive overview of the U.S. financial services industry.

The seminar will cover the roles of the major players in the securities business, including banks, broker/dealers, mutual funds, and the issuers of securities; the customers and their needs; the specifics of common and preferred stock and fixed income securities and the functions of the New York Stock Exchange and the NASDAQ marketplace.

Financial Markets

Participants in the Securities Industry

Regulators and Industry

• Regulators
  
• Self-Regulating Organizations
  
• Legislation

Investment Process

Investing in Securities

Investor Objectives

• Categories of Investment Products
• Understanding Investment Risk
• Making Investment Decisions

Research

Investment Products
*Purpose of Securities Instruments
*Equities
*Fixed Income
*Derivatives
*Cash Equivalents

Securities Industry Concepts
*Business Concepts
*People Concepts