Description

This course describes how the capital/financial markets operate with specific focus on equities and fixed income. How do governments, financial institutions and corporations raise capital? Market participants are identified including investors/portfolio managers, issuers/borrowers, investment banks and dealers/traders. Who are the investors and what are their objectives when investing? What is the difference between the primary and secondary markets, exchange-traded and over-the-counter? How does an investor buy or sell a security in the secondary market? How do fundamental economics and interest rates affect asset values? The answers to these questions will be examined and discussed in this 2-hour overview session.

Course Objectives

By the end of this session, participants will be able to:

• • Describe how the capital/financial markets function (Note that these markets may be referred to as the securities industry)
  • Explain the various participants and their roles in the market place
  • Examine how a new deal is brought to market
  • Recognize and define terminology used in these markets
  • Describe the importance of economics, interest rates and the Federal Reserve

Suggested Prerequisites: None

Program Level: Foundational

Target Audience: Anyone who wants to learn about capital/financial markets, such as staff from operations, IT, legal, compliance, middle office, or HR, and regulators who work closely with various aspects of the capital markets.

Advance Preparation: None

Computers and Financial Calculators: Computers or tablets for viewing and accessing the electronic documents. Calculators are not required.

Recommended CPE Credits: 2.4

Duration: 2 Hours

Time: 9:00-11:00 a.m. ET

Price: $279/learner