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Course List
Introduction to the Securities Industry
 
Introduction to the Securities Industry
How the Securities Industry Works
Introduction to U.S. Securities Processing
Introduction to Buy Side Securities Processing
Straight Through Processing (STP)
Fundamentals of Securities Income
Securities Industry Principles
Introduction to Investment Management
Securities Lending and Borrowing : An Operations Perspective
Securities Industry Basics and Trends
International Issues
 
International Securities Operations
International Portfolio Accounting: Basic Level
International Portfolio Accounting: Intermediate Level
Withholding Tax Relief Worldwide
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
Capital Market Economics
Portfolio Management
 
Portfolio Management
Securities Analysis
Managing Risk
 
Risk in a Global Market - Management and Operational Challenges in 2010
Managing Operational Risk
Understanding and Managing Classic and Systemic Risks
Financial Management
 
Introduction to Supervision for Financial Services Professionals
Challenges in Supervision for Financial Services Professionals
Client Service and Building Client Loyalty for Financial Service Professionals
Introduction to Management for Financial Services Professionals
Financial Accounting and Financial Mathematics
Financial Statement Analysis
Fixed Income Securities
 
Bond Math: Mathematics of the Fixed Income Market
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
Collateralized Debt Obligations and Credit Default Swaps (CDOs and CDS)
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
Financial Reform 2010 - The Dodd-Frank Wall Street Reform and Consumer Protection Act
Derivatives
 
Introduction to Derivative Products
Derivatives: Markets, Operations, Accounting & Control
Derivatives and Hedge Accounting
Interest Rate Futures and Swaps
Introduction to Options: Products, Trading & Processing
Swaps Processing
Equity Options: Strategies, Risks and Rewards: Basic Level
Equity Options: Strategies, Risks and Rewards: Intermediate Level
Mutual Funds
 
Introduction to Mutual Funds
Mutual Fund Operations

Course Description
Introduction to Margin
Available Dates:
Course Code: 705
Duration: 2 days
Level: Basic
Fee: $1395.00
CPE Credits: 14
Prerequisite: No Prerequisite Required.

This two-day seminar presents in a concentrated format the essential information about margin: functions, responsibilities and daily duties of margin department staff, and the impact of margin activities on other departments. It is intended primarily for members of the Margin Department and those who interact with this department, including Compliance EDP, internal audit, and other operations personnel. Conducted in a workshop format, to encourage interaction, the program emphasizes what typically goes on in the Margin department, why and how. Exercises are included to provide opportunities to try out realistic situations.

Role of the Margin Department and Its Interrelationships with Other Areas

Differences between Cash, Margin, and SMA Accounts

Terms Commonly Used by Margin Professionals

Purposes of Margin Trading

NYSE Initial Margin and Maintenance Requirements

Margin Account Maintenance,with Both Long and Short Positions

Margin Bond Accounts: How They Differ From Equity Accounts

The Significance and Mechanics of Margin Calls

Basics of Shorting Securities in Margin Accounts

After completing this seminar, participants will be able to:

 

  • Post a margin account
  • Compute buying power
  • Understand the workings of a cash account  
  • See what role the Federal Reserve plays regarding credit on securities
  • Post to an SMA
  • Understand how a short sale is processed
  • Understand the mechanics of a stock loan
  • How a short sale is posted

 

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