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--- | --- |\n| \u003Cbr>Session 1 |  |  |\n| Market Structure:\u003Cbr>• Primary Market\u003Cbr>• Secondary Market\u003Cbr>• Third Market\u003Cbr>• Fourth Market | 1. Understand the various market participants and the role they play in the market structure of the securities industry\u003Cbr>2. Understand industry terminology | • Debt Securities\u003Cbr>• Equity Securities\u003Cbr>• Broker-dealers\u003Cbr>• Market Makers\u003Cbr>• Traders\u003Cbr>• Investment Advisers\u003Cbr>• Investors (Retail & Institutional)\u003Cbr>• The Depository Trust & Clearing Corporation (DTCC)\u003Cbr>• The Options Clearing Corporation (OCC)\u003Cbr>• Custodians\u003Cbr>• Transfer Agents |\n| \u003Cbr>Session 2 |  |  |\n| Regulation:\u003Cbr>• Regulatory Entities\u003Cbr>• Agencies\u003Cbr>• Market Participants | 1. Recognize how financial services firms are subject toa multilayered regulation structure\u003Cbr>2. Obtain general knowledge of federal, state, and industry regulations | • Securities and Exchange Commission (SEC)\u003Cbr>• Federal Reserve\u003Cbr>• Federal Deposit Insurance Corporation (FDIC)\u003Cbr>• Self-regulatory Organizations (SROs)\u003Cbr>• FINRA\u003Cbr>• MSRB\u003Cbr>• CBOE\u003Cbr>• North American Securities Administrators Association (NASAA)\u003Cbr>• The Securities Exchange Act of 1933\u003Cbr>• The Securities Exchange Act of 1934\u003Cbr>• Securities Investor Protection Corporation (SIPC) |\n| \u003Cbr>Session 3 |  |  |\n| Equity and Debt Securities | 1. Gain knowledge of equityrelated concepts including: ownership, voting rights, convertibility, control and restrictions | • Common Stock\u003Cbr>• Preferred Stock\u003Cbr>• Treasury Stock\u003Cbr>• Outstanding Stock\u003Cbr>• Right of Inspection\u003Cbr>• Ownership\u003Cbr>• Right to Vote\u003Cbr>• Derivative Securities |\n\n\n|  | 2. Recognize the different types of debt instruments\u003Cbr>3. Increase knowledge on the common traits related to bonds that are issued by corporations, the U.S. government, municipalities, and others attempting to raise capital\u003Cbr>| • Rights\u003Cbr>• Warrants\u003Cbr>• Par Value\u003Cbr>• Coupon Rate\u003Cbr>• Accrued Interest\u003Cbr>• Bond Yields\u003Cbr>• Callable and Convertible Features\u003Cbr>• Yield |\n| --- | --- | --- |\n| \u003Cbr>Session 4 |  |  |\n| Investment Returns | 1. Learn the different methodsan investor uses to measure the performance of a stock and/or bond investment\u003Cbr>2. Understand how investment benchmarks are used to gauge relative investments | • Dividends\u003Cbr>• Yield to Maturity (YTM)\u003Cbr>• Yield to Call (YTC)\u003Cbr>• Realized/Unrealized Gains\u003Cbr>• Record Date\u003Cbr>• Payable Date\u003Cbr>• Cost Basis\u003Cbr>• Return of Capital\u003Cbr>• Benchmarks and indices |\n| \u003Cbr>Session 5 |  |  |\n| Packaged Products and Options:\u003Cbr>Packaged Products –\u003Cbr>Types of Investment Companies\u003Cbr>• Open-end\u003Cbr>• Closed-end\u003Cbr>• Unit Investment Trusts (UITs)\u003Cbr>• Face Amount Certificate Companies\u003Cbr>Options –\u003Cbr>• Put and Calls\u003Cbr>• Equity vs. Index | 1. Gain the ability to identify the different packaged products\u003Cbr>2. Learn the mechanics of buying and selling these products using the appropriate client disclosures\u003Cbr>3. Comprehend option related concepts such as, hedging, expiration date, strike price, premium, and underlying security or case settlement | • Net Asset Value (NAV)\u003Cbr>• Mutual Fund\u003Cbr>• Sales Charges\u003Cbr>• Breakpoints\u003Cbr>• Classes of Shares\u003Cbr>• Letter of Intent (LOI)\u003Cbr>• Right of Accumulation (ROA)\u003Cbr>• Strike Price\u003Cbr>• Premium\u003Cbr>• In-the-money\u003Cbr>• Out-of-the-money\u003Cbr>• Hedging or Speculation\u003Cbr>• Options Clearing Corporation (OCC)\u003Cbr>• Type of Investment Companies |\n| \u003Cbr>Session 6 |  |  |\n| Variable Contracts and Municipal Fund Securities | 1. Understand the basics of tax implication and suitability regarding variable annuities and municipal fund securities\u003Cbr>2. Knowledge of restricted use of plan assets | • Fixed Annuities\u003Cbr>• Variable Annuities\u003Cbr>• Accumulation Period\u003Cbr>• Annuity Period\u003Cbr>• Tax Advantages\u003Cbr>• Local Government Investment Pools (LGIPs)\u003Cbr>• Section 529 Savings Plan\u003Cbr>- Prepaid Tuition Plans\u003Cbr>- Savings Plan |\n| \u003Cbr>Session 7 |  |  |\n\n\n| Alternative Instruments | 1. Learn about othe","cbCaib9iZGVE4Gnq","https://ap.wps.com/l/cbCaib9iZGVE4Gnq","pdf",132770,"English","# Session 1\n## Market Structure\n# Session 2\n## Regulation\n# Session 3\n## Equity and Debt Securities\n# Session 4\n## Investment Returns\n# Session 5\n## Packaged Products and Options\n# Session 6\n## Variable Contracts and Municipal Fund Securities\n# Session 7\n## Alternative Instruments\n# Session 8\n## Offerings\n# Session 9\n## Economic Factors and Investment Risks\n# Session 10\n## Trading, Settlement and Corporate Actions","[{\"question\":\"What learning objectives are covered in Session 1 on market structure?\",\"answer\":\"Session 1 focuses on understanding market participants and their roles across primary, secondary, third, and fourth markets, plus familiarity with core securities industry terminology.\"},{\"question\":\"How does Session 2 address regulation of financial services firms?\",\"answer\":\"Session 2 teaches how firms are subject to a multilayered regulation structure and builds general knowledge of federal, state, and industry regulations, including key regulatory entities and acts.\"},{\"question\":\"What concepts related to investment returns and benchmarks are included in Session 4?\",\"answer\":\"Session 4 covers methods investors use to measure stock and bond performance, including dividends, YTM and YTC, realized and unrealized gains, and how benchmarks and indices gauge relative investments.\"}]","Market Structure - Session 1 - Curriculum Outline | PDF",13]