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Namibia Stock Exchange (NSX) semi-annual Stock-brokering Exams; Nigerian Stock Exchange (NSE) offers a few certificate programs including: Module 1: The role and responsibilities of compliance officers in the capital market; Module 2: Compliance risk-based monitoring programmes; Module 3: Conduct of business obligations of a broker dealer firm
Derivatives traders in the pit at the Chicago Board of Trade in 1993. Derivatives trading of this kind may serve the financial interests of certain particular businesses. [26] For example, a corporation borrows a large sum of money at a specific interest rate. [27] The interest rate on the loan reprices every six months.
Broker-dealers are at the heart of the securities and derivatives trading process. [1] Although many broker-dealers are "independent" firms solely involved in broker-dealer services, many others are business units or subsidiaries of commercial banks, investment banks or investment companies. When executing trade orders on behalf of a customer ...
Since the 1970s, [10] trading in futures contracts has rapidly expanded beyond traditional physical and agricultural commodities into a vast array of financial instruments, including foreign currencies, U.S. and foreign government securities, and U.S. and foreign stock indices. [citation needed]
The laws that govern the securities industry are: [5] Securities Act of 1933 – regulating distribution of new securities; Securities Exchange Act of 1934 – regulating trading securities, brokers, and exchanges (also creation of the SEC) Trust Indenture Act of 1939 – regulating debt securities; Investment Company Act of 1940 – regulating ...
The upside on this trade is uncapped and traders can earn many times their initial investment if the stock soars. Example: Stock X is trading for $20 per share, and a call with a strike price of ...
Floor Broker/Trader: an individual who trades commodity contracts on the floor of a commodities exchange. When executing trades on behalf of a client in exchange for a commission he is acting in the role of a broker. When trading on behalf of his own account, or for the account of his employer, he is acting in the role of a trader.
The floor of the Chicago Board of Trade, a major commodities exchange in the United States. A commodities exchange is an exchange , or market, where various commodities are traded. Most commodity markets around the world trade in agricultural products and other raw materials (like wheat , barley , sugar , maize , cotton , cocoa , coffee , milk ...