Course Category

Fundamentals of the Securities Industry - Online

This online curriculum provides a broad perspective of the workings of Wall Street and the securities industry. It focuses on the products, markets, vocabulary, and players, the primary and secondary markets for securities including investment banking, the stock exchanges and over-the-counter transactions, margin, settling, clearing, and industry regulations. Essential for newcomers to the securities industry, this course is also helpful to industry employees facing increased responsibilities.

Please note that this is a curriculum of individual course modules. You will need to pass each module exam in order to qualify for a certificate of completion.

This is an asynchronous eLearning program that can be accessed 24/7 from any internet enabled computer.

• Gain a basic understanding of the investment world and the Securities Industry
• Understand the role of Primary and Secondary Markets
• Understand the process of a Public Offering
• Identify the basic characteristics of common stock.
• Read and comprehend stock quotations.
• Identify the characteristics and types of preferred stock.
• Identify various Equity-linked products.
• Identify the basic features of corporate, U.S. government, and municipal bonds.
• Read and comprehend bond credit ratings and yields.
• Identify different government securities.
• Understand the difference between exchange and OTC markets.
• Identify the types of orders available to market participants.
• Understand the complex investment strategies.
• Understand the processing and approval procedures
• Identify the functions of back office departments
• Understand the key dates in a settlement