Corporate Securities Processing provides an overview of the securities industry and the kinds of services banks and trust companies render as agents and trustees.

It is recommended that participants take this course prior to Corporate Securities Administration.

   Audience: Corporate securities staff, and others needing a basic understanding of this business such as trust officers, commercial lenders, and others who market corporate securities services.

    Learning Objectives

   At the conclusion of the program participants will be able to:

• Describe the types of corporate and municipal securities handled by organizations as agents and trustees for the issuers
• Understand how the securities marketplace works, and the roles of the various participants in the issuance and trading process
• Understand the services performed by banks and trust companies for the issuers of securities, and the laws and regulations that define them
• Describe the purpose and content of a bond indenture and the duties of a bond trustee

Enrollment Form

(Download and print from SER-CFT website, complete and fax to 904-354-1834)