Securities Operations School Overview

The Securities Operations curriculum contains facts, explanations, diagrams, and examples of how stocks, bonds, and derivatives are processed in the U.S. These courses not only explain how brokers process securities but also how brokers, banks, trust companies and investment managers do their jobs and how each works with the other. You will learn how securities are created and distributed through the OTC market, the Stock Exchange and the Alternative Trading Systems. In addition, students study the various firms that make up the industry’s infrastructure (exchanges, clearinghouses, and depositories), and the differentiating characteristics of the many types of instruments that are traded.

Securities Operations I, I, III educates students in areas of trust operations and securities processing responsibilities, preparing you to sit for the CTOP® exam.

Securities Operations I

This course is the first course in a three-part series.

Topics covered in this course:

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

Securities Operations II

This course is the second course in a four-part series. Participants must have successfully completed Securities Operations II before registering for this course.

Topics covered in this course:

Personal Trust Products and Services
Corporate Trust and Agency Services
Trust Audit, Compliance, and Risk Management
Investment Management Products and Services
Valuing Hard-to- Value Assets

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Securities Operations III

This course is the final course in the three-part series. Participants must have successfully completed Securities Operations II before registering for this course. After completion of this course, participants are prepared to take the CTOP® designation exam. Note, there is an application process for the CTOP® designation.

Topics covered in this course: