What will you learn about?

CSI’s Investment Representative Training Program fulfills the general knowledge requirements of CIRO’s 30-day training program for new investment representatives and can be used to compliment your firm’s internal training program. Topics covered include:

  • Investment representatives’ roles and responsibilities
  • Capital markets and trading mechanics
  • Equity, fixed-income, and managed product operations
  • Stock exchange trading rules
  • Account operations and transactions

IRT is delivered online and includes self-administered quizzes to help assess your understanding of the program materials. A final online test is also included – note that course assessment is an employer’s responsibility.

What is the course syllabus?

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Chapter 1: Overview of Capital Markets

Topics covered in this chapter are:

  • Capital Markets Refresher
  • Stock Exchange Trading Rules
  • Equity Trader Roles and Duties
  • Mechanics of Trading on the Fixed Income Markets
  • Realities of a Multi-Market Universe

Chapter 2: The Role and Responsibilities of the Investment Representative

Topics covered in this chapter are:

  • The Discount Brokerage Industry
  • Permissible Activities of Investment Representatives
  • Integrity of the Investment Representative
  • Safeguarding Market Integrity

Chapter 3: Opening and Maintaining Accounts

Topics covered in this chapter are:

  • Account Opening Procedures and Documentation
  • Cash and Margin Account Rules
  • Account Operations
  • Communicating Trading Information to Customers

Chapter 4: Transactions

Topics covered in this chapter are:

  • Giving Quotes and Trading Information
  • Equity Operations
  • Fixed-Income Operations
  • Managed Product Operations
  • Back Office Trade Operations

How will you learn?

CSI’s online learning system helps you meet your study goals. You’ll benefit from:

  • Textbook readings available in PDF and printed format
  • Learning objectives that keep you focused
  • End of chapter activities including review questions to help you reinforce your learning and identify topics that may need to be revisited during exam preparation
  • Two self-assessments and practice questions so that you can assess your progress
  • Online assistance from CSI’s academic support specialists

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