Guide to the Financial Markets (CPE Course)

CPE Credit: 3 hours

Course Type: Downloaded PDF materials with online test

Price (with PDF Textbook): $35

Course Description
The financial markets support the worldwide economic system, so it makes sense to have a basic understanding of how they operate. In the Guide to the Financial Markets course, we explore the major financial markets, including the bond, equity, foreign exchange, futures, international debt, and money markets. The course addresses such matters as how bonds are sold, the yield curve, the requirements of the different stock exchanges, dark pool trading, short selling, foreign exchange investing strategies, futures contracts, sweep accounts, and repurchase agreements. This guide is useful for those professionals who want to learn more about the financial markets.

Author: Steven Bragg

Course Number: FN1035

Learning Objectives

  • Recognize the parties that invest in the financial markets.

  • Recall the characteristics of a successful financial market.

  • Recognize the issues that can impact the prices of the different types of securities.

  • Recall the different types of bond credit ratings, and what they represent.

  • Recognize the characteristics of the over-the-counter bulletin board.

  • Recall when securities are listed on the Pink Sheets.

  • Recognize the characteristics of dark pools.

  • Specify the process used to take a company public.

  • Recall the reasons why a business might conduct a stock buyback.

  • Recognize the process by which shares are sold short.

  • Recall the best practices for investing in stocks.

  • Recognize the characteristics of a futures contract.

  • Specify the types of commodities that are traded on futures exchanges.

  • Recall the characteristics of the money market.

Level: Overview

Instructional Method: QAS Self-Study

NASBA Category: Finance

Prerequisites: None

Advance Preparation: None

Latest Review Date: February 2024

Program Registration Requirements: Click on "Purchase Course" near the top of this page to pay for and access the course. You will then be able to download the course as a PDF file, then take an on-line examination, and then download a certificate of completion if you pass the examination.

Program Refund Policy: For more information regarding administrative policies concerning complaints, refunds, and other matters, see our policies page.

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AccountingTools, Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have the final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

The NASBA sponsor identification number for Accountingtools, Inc. is 115881.

AccountingTools is an IRS Approved Continuing Education Provider. We are compliant with the requirements for continuing education providers (as described in sections 10.6 and 10.9 of the Department of Treasury’s Circular No. 230 and in other IRS guidance, forms, and instructions). Our IRS Approved Continuing Education Provider number is 72821.