Fundamentals of the Securities Industry
Overview of the products, vocabulary, primary and secondary markets for securities, including investment banking, stock exchange, OTC transactions, margin, settling and clearing.
CPE Credits: 8 - The complete list of CPE courses can be found here.
| Program Level | Basic |
| Prerequisites | This course has no prerequisites |
| Advance Preparation | No advance preparation required |
| Recent Revision Date | May 27, 2014 |
| Instructional Delivery Method | QAS Self Study |
| Field of Study | Management Advisory Services |
Duration : 1 hour
- Gain a basic understanding of the investment world and the Securities Industry
- Understand the role of Primary and Secondary Markets
Duration : 2 hours
- 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
Duration : 2 hours
- Identify the basic features of corporate, U.S. government, and municipal bonds
- Read and comprehend bond credit ratings and yields
- Identify different government securities
Duration : 2 hours
- Understand the difference between exchange and OTC markets
- Identify the types of orders available to market participants
- Understand the complex investment strategies
Duration : 1 hour
- Understand the processing and approval procedures
- Identify the functions of back office departments
- Understand the key dates in a settlement