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After the Trade Is Made: Processing Securities Transactions

After the Trade Is Made: Processing Securities Transactions

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Written for both securities professionals and individual investors, the new edition clearly explains the core of underwritings, new and established trading markets, transaction processing, margin, while providing critical insights into the most recentwave of industry transitions and developments.

David M. Weiss, a veteran securities professional, traces the entire process of buying or selling a security--from order management to transaction processing through to the final posting on the firm's books and records. He illuminates the specialized attributes of each function in a typical brokerage firm, as well as their relationships with commercial banks, transfer agents, clearing corporations, and depositories. Weiss details the requirements fornew accounts and how the firms supervise established cash, margin, joint, and power-of-attorney accounts. The book also delves into the different types of securities, from common stock to corporate bonds to futures and options. Updated material providesthe latest information on mutual fund processing, web-based trading, processing transaction in restricted securities, currency trading and trade processing, third market trading, and prime brokerage. Comprehensive, accessible, and completely up-to-date, After the Trade is Made is the definitive resource for anyone eager to understand and confidently navigate the vast and often surprising world of securities.

2 Sub edition