Chapter 15: Trading, Settlement, and Corporate Actions

In this section

• Orders and Strategies
  • Master Trading with Different Types of Orders Efficiently
    Understand market, limit, stop, and stop-limit orders to enhance trading proficiency. Learn about time-in-force instructions like GTC and day orders.
  • Master Trade Capacity: Principle & Agency Transactions Demystified
    Learn about trade capacity in securities, distinguish between principal & agency transactions, and understand dealer & broker roles effectively.
  • Master Long and Short Positions: Essential for Traders
    Explore long and short positions, their risks, strategies, and margin requirements in trading. Master the basics for your FINRA SIE exam pass.
  • Master Bullish & Bearish Strategies for Successful Trades
    Explore bullish & bearish strategies, optimize trades based on market outlook. Master key tactics, practical applications, & pass the FINRA SIE® Exam.
• Investment Returns
  • Master the Components of Return for Investment Success
    Explore interest, dividends, and capital gains to master investment returns and enhance your trading knowledge for exam success.
  • Master Dividends: Your Guide to Investment Returns
    Learn about cash dividends, stock dividends, and dividend reinvestment to enhance your investment strategy and deepen your securities knowledge.
  • Understanding Dividend Dates: Optimize Your Investment Returns
    Master declaration, ex-dividend, record, and payable dates to enhance your investment strategies and exam success.
  • Master Return Measurements for Improved Investment Decision
    Understand investment returns, yield calculations, basis points, and total return with practical examples to enhance your securities industry knowledge.
  • Master Cost Basis Calculations for Tax Efficiency
    Explore methods to calculate cost basis, enhancing investment returns by maximizing tax efficiency. Detailed trading insights for compliance.
  • Mastering Benchmarks: Use of S&P 500 in Evaluating Performance
    Explore the use of benchmarks like the S&P 500 to evaluate investment performance and understand trading, settlement, and corporate actions.
• Trade Settlement
  • Mastering Settlement Time Frames in Securities Trading
    Learn about T+2, T+1, and other standard trade settlement periods for efficient trading and compliance in the securities industry.
  • Understand Physical vs. Book Entry: Simplifying Securities Ownership
    Discover the differences between physical certificates and book-entry systems, streamlining securities trading and settlement for efficient handling.
• Corporate Actions
  • Mastering Types of Corporate Actions for SIE Exam Success
    Gain in-depth understanding of corporate actions like stock splits, mergers, acquisitions, buybacks, and tender offers for optimal SIE exam preparation.
  • Navigating Corporate Actions: Impact on Investors' Portfolios
    Explore how corporate actions influence stock prices, cost basis, and investor decisions. Gain practical insights into trading and settlements.
  • Master Notifications and Deadlines in Corporate Actions
    Discover the importance of timely communication in corporate actions, vital for shareholders and the securities industry.
  • Master Proxies and Voting for Corporate Actions Success
    Learn to navigate proxies and voting in corporate actions with real-world insights, ensuring you excel in the SIE Exam and your financial career.