Explore the essential functions and impact of the National Securities Clearing Corporation (NSCC) on the U.S. securities clearing system, its history, and relationship with DTCC.
Explore the concept of Delivery Versus Payment (DVP), a crucial securities settlement method that ensures securities are transferred only post-payment, reducing transaction risks.
Explore the functionality and importance of the Order Audit Trail System (OATS), established by FINRA, to enhance transparency and regulatory oversight in securities transactions.
Dive into the nuances of SEC Form 4, an essential document for tracking insider trading activities and ownership changes in public companies.
Explore the when issued (WI) trading process where securities are conditionally traded before being officially issued, including key benefits and examples.
Explore the concept of boiler rooms in securities trading, learn the characteristics of boiler room scams, and gain expert tips on how to avoid falling victim to these fraudulent schemes.
Explore the Series 7 Exam including its purpose, requirements, and structure. Learn how it qualifies the holder to sell securities products and prepare with key insights.
Learn what the National Market System (NMS) is, its regulations including Reg NMS, and how it ensures fairness and transparency in US equity markets.
