The Trading Process

This lesson walks the student through the primary and secondary markets in the United States and the various exchanges on which investment securities are traded. Rules and regulations covering securities trading and shareholder rights are explored as well as the role the regulatory bodies play and how they function. Types of trade orders such as limit orders, stop orders and short sales are covered in detail. The role of brokerage houses, the types of accounts offered and the rules governing brokerage firms and their employees are discussed along with the increased interest in On line trading. Other ways of acquiring securities through dividend reinvestment programs, DRIPs and mutual funds are also presented for consideration. The student will become familiar with the several types of corporate actions affecting shareholder portfolios and taxation matters related to capital gains, tax deferral and tax exempt securities.

Each lesson is interactive and interspersed with questions and exercises designed to reinforce the learning experience and concepts presented. A glossary of terms and a mastery test is also included.

This course has been approved for continuing education credits from the Institute of Certified Bankers(ICB). Certifications

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