Cannon Financial Institute

Securities Operations I

This course begins a three-part series with a focus in the areas of trust operations and securities processing responsibilities.

This curriculum not only explains how brokers process securities but also how brokers, banks, trust companies and investment managers do their jobs and how each works with the other.  Students learn how securities are created and distributed through the OTC market, the Stock Exchange, and the Alternative Trading Systems.

We encourage at least six-twelve (6-12) months related experience before beginning this curriculum.  Those seeking the CSOP™ designation should begin with this course and plan to continue through Securities Operations II and Securities Operations III.

Course materials may include the How the U.S. Securities Industry Works textbook ($95*). This course concludes with a comprehensive exam. *Prices may vary when purchased separately.    

Topics

  • Securities Marketplace
  • Financial Instruments
  • Securities Lending
  • Uniform Principal and Income Act
  • Regulators and Regulations

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