PPT-IV. Regulation of Trading and Securities Markets

A Background and Early Regulation The primary purpose of government regulation of competitive markets is to prevent market failure or collapse Proponents of regulation argue that financial markets left unregulated will tend towards loss of competition stability efficiency and credibility leading to individuals and firms withdrawing from participation . B NASDAQ traded securities simply append the special code after root symbol brPage 7br Option Symbol Options Symbol represents four different characteristics Underlying Instrument Put or Call Expiration Month Strike Price Example MSQJG MSQ 1. Contents. Introduction to the Capital Market:. Regulated Entities & Market Infrastructure Institutions. Steps for Investors and Requirements for Brokers. Order Flow. Major Market Reforms. Stock Market. Presented . by:. Jerry Citera. Managing Director. Associate General Counsel. JP Morgan . Chase & Co.. September 2016 . . Outline of Presentation . 1. Introduction. Basic . Concepts in Equity Market Structure. INTRODUCTION . TO CAPITAL MARKETS AND INVESTMENT BANKING. Giles began his career on the Stock Exchange floor at Big Bang in 1986, trading for Nat-West markets.. . Following this he joined Deutsche Bank and then Citigroup where he was Managing Director responsible for Energy trading.. 4). Help firms and governments raise cash by selling claims against themselves. Provide a place where investors can buy and sell securities ( investments). Help the private companies to become public and original investors to cash out. Topics Covered. How securities are first marketed to the public by investment bankers. Underwriters, IPOs – Underpricing, SEOs. . How and where already-issued securities are traded among investors.. P.V. . Viswanath. For a First Course in . INvestments. Learning Goals. 2. Understand primary market issue methods. How do investment bankers assist in security issuance?. What are the differences between the various kinds of security markets?. 1Last Updated July 2020ANNUAL DISCLOSURE STATEMENTContentsAnti-Money Laundering1Privacy Statement2Margin Disclosure Statement2Day Trading Risk Disclosure Statement3Extended Trading Hours Risk Disclosu Report from the Technical Committee of the International Organization of Securities Commissions November 2001 1 Transparency and Market Fragmentation Executive summary Market transparency is general FOR TREASURY AGENCY DEBT and AGENCY MORTGAGE-BACKED SECURITIES MARKETSRevised February 2016INTRODUCTIONThe Treasury Market Practices Group TMPG recognizes the importance of maintaining the integrity a FOR TREASURY AGENCY DEBT and AGENCY MORTGAGE-BACKED SECURITIES MARKETSJULY 2019 INTRODUCTIONThe Treasury Market Practices Group TMPG recognizes the importance of maintaining the integrity and ef31cien Money markets: debt type securities with maturity up to one . year. Capital Markets: everything else. Stock Markets. Bonds (Fixed Income Markets): bonds, loans, notes, securitizations. Financial Derivatives: Futures, Options, Swaps. Financial markets . : . is a broad term describing any market place where trading of securities including equities, bonds, currencies and derivatives occurs.. Financial . markets can be distinguished along two major dimensions. . Overview of Securities Markets, Institutions and Instruments - Current and Emerging Investment opportunities. .. Online Certificate Course in Investment Management Level I. By. Dr. V.R. Narasimhan.