A securities analyst specializes in financial securities and may work with companies or individuals to provide guidance on buying or selling. They work long hours and must stay up to date on market trends and global economic conditions. A bachelor’s degree is required, but a master’s degree is preferred, and licensing may be necessary. A […]
Securities attorneys have three responsibilities: staying informed of new laws, working with clients, and acting as a resource. They work for corporate clients and may also work for government agencies. To become a securities attorney, one must complete law school and have a solid understanding of business accounting and finance practices. Securities law is complex, […]
Securities Industry Automation Corporation, a subsidiary of NYSE Euronext, provides technical services for major securities markets, including operating stock market and options trading systems. It also operates technology for the Consolidated Tape Association and the Options Price Information Authority, facing challenges of security, reliability, and low latency levels. Securities Industry Automation Corporation is the company […]
Securities lending involves transferring ownership of assets from one party to another to generate profit. Institutional investors such as pension funds and hedge funds are typical borrowers, and collateral is used to offset risk. Lenders retain ownership rights but lose voting benefits. Risks include counterparty risk, but lenders can mitigate this through credit checks and […]
The Securities Investor Protection Corporation (SIPC) protects brokerage firm clients against insolvency and unauthorized transactions, with coverage up to $500,000. If a firm goes bankrupt, the SIPC works to return clients’ assets, which can take one to three months. The SIPC does not insure the value of stocks and has exceptions for certain investments. To […]
Auction rate securities are long-term investments that pay short-term interest rates to investors. They are fixed income securities that provide a constant stream of income to investors at a variable interest rate that changes over the life of the agreement. These financial instruments are issued on the market or sold by companies and municipalities as […]
The Canadian Securities Course is a program that qualifies individuals to become mutual fund representatives in Canada, except for Quebec. It consists of two exams covering the Canadian securities and financial services industry, and requires 135-200 hours of study. Students can choose between paper-based or computer-based exams and have one year to complete them. The […]
The Uniform Securities Act serves as a model for state-level regulations to standardize securities trading and prevent fraud. The 1956 version is considered a milestone, while later versions have had limited success in gaining support. The Uniform Securities Act is a part of the law of the United States of America. In essence, this federal […]
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