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    Equity Trade Lifecycle

    June 10, 2013 (New York City)     Sept. 30, 2013 (New York City)

    Early-bird Registration Fee: US$895.00   Register    Location    Instructor

    ($100 Early-bird Registration Discount Ends Aug 30)

    Beginner/Intermediate Level, 7 CPE Credits
    Instructor: Stan Monsowitz
    Hours: 9:00 am - 5:00 pm; Registration/Breakfast begins at 8:30 am

    This one-day class tracks an equity trade from the time an investor makes a decision to buy or sell through execution, pre-settlement, settlement, asset servicing and regulatory governance. The class begins with a review of significant events in the equity marketplace followed by a review of the various equity products, the participants and their roles.

    During this interactive class, participants will establish or update their understanding with a solid base of the processes, functions and activities associated with the Equity Trade Lifecycle. There will be an opportunity for a discussion of the evolving trends in equity markets, the drivers and rationale for change.  

    • Equity Products 

      • Common 

      • Preferred 

      • American Depository Receipts 

      • Rights 

      • Warrants 

      • Units 

    • Participants 

      • Buy-side 

      • Sell-side 

      • Industry Utilities 

      • Industry Service Organizations 

    • Markets 

      • Exchanges 

      • Electronic 

      • Hybrid environments 

    • Order Processing/Execution 

      • Order Receipt 

      • Routing 

      • Trade reporting systems 

    • Middle Office 

      • Trade Entry

      • Trade Reporting

      • Inventory management

      • Confirmation/Affirmation

    • Comparison 

      • Locked-in trades 

      • Real Time Trade Matching 

      • Other Matching Processes 

    • Clearance 

      • Trade Guarantee 

      • Central Counterparty 

      • Novation 

      • Industry Utility 

    • Settlement 

      • Exchange of Value  

      • Federal Reserve/Clearing Banks 

      • Depository Trust Company 

    • Fail Control/Financing 

      • Fails 

      • Financing  

      • Securities Borrow/Loan 

    • Inventory Control 

      • Depository Trust Company 

      • Federal Reserve/Clearing Banks 

      • Physical securities 

    • Stock Record 

      • Books & Records 

    • Income Collection & Distribution 

      • Dividends 

    • Corporate Action Processing 

      • Types of event 

      • Event processes 

    • Trends 

      • Trading – the future 

      • Buy-side participation in the Comparison & Clearance processes