What will you learn about?

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Lesson 1: Sales and Trading

Topics covered in this Lesson are:

  • Minimum Standards for Institutional Supervision
  • Dealing with Institutional Client Accounts
  • Trading Operations and Rules
  • Fixed Income Sales and Trading
  • The Role of the Gatekeeper
  • Manipulative or Deceptive Trading
  • Improper Orders and Trades
  • Trading Halts, Delays, and Suspensions

Lesson 2: Investment Banking

Topics covered in this Lesson are:

  • Information Barriers and Restricted Lists
  • Underwriting Due Diligence
  • The Research Department
  • Financial Engineering
  • Illegal Insider Trading and Tipping
  • Ethics