After the Trade Is Made: Processing Securities Transactions

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This third edition of After the Trade Is Made reflects the changes that have taken place in recent years as a result of new products, technological breakthroughs, and the globalization of the securities industry. Comprehensive and easy to understand, it provides brokers, operations personnel, and individual investors with definitive and up-to-the-minute explanations of each step in the trading process-from the moment a customer decides to buy or sell a security through the final...
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Overview

This third edition of After the Trade Is Made reflects the changes that have taken place in recent years as a result of new products, technological breakthroughs, and the globalization of the securities industry. Comprehensive and easy to understand, it provides brokers, operations personnel, and individual investors with definitive and up-to-the-minute explanations of each step in the trading process-from the moment a customer decides to buy or sell a security through the final requirements of record keeping.

Written for both securities professionals and individual investors, whether domestic or in other countries, this new edition clearly explains the core of underwritings, new and established trading markets, transaction processing, margin, and more-while providing critical insights into the most recent wave of industry changes.

David M. Weiss, a veteran securities professional, traces the entire process of buying or selling a security, from order management to transaction processing to the final posting on the firm's books and records. He covers 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.

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.

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Product Details

  • ISBN-13: 9780130185815
  • Publisher: New York Institute of Finance
  • Publication date: 1/28/1986
  • Edition number: 1
  • Pages: 448

Meet the Author

David M. Weiss has been active in the brokerage industry for more than thirty-five years. Currently an independent consultant and lecturer, he was formerly the director of business, industry, and product training for a major international investment bank, vice president of new products for a primary marketplace, and chief operations officer of a broker dealer as well as holding other management positions.

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Table of Contents

I Overview of the industry 1
II Products that we offer 27
III The marketplaces and order management 135
IV The trade-processing system 199
V Margin 271
VI Settlement 329
VII Custodial services 373
VIII Role of the banks 389
IX Cash accounting 397
X Brokerage accounting 411
XI Stock record 419
XII General ledger 437
XIII Regulatory reporting 445
XIV Conclusion 453
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