Knowledge of Capital Markets
12 of the 75 scored questions cover how the markets themselves work: the regulators (SEC, FINRA and the other SROs), market structure and participants, how new securities are brought to market, and the economic forces — monetary and fiscal policy, the business cycle, interest rates — that move prices.
Study sets
- Markets, Regulators & Offerings Medium
Find the structural backbone of the capital markets: primary and secondary markets, the SEC and FINRA, broker-dealers, market makers, underwriting, prospectuses, and exempt offerings.
8 terms - The Economy & Market Forces Medium
Track down the economic machinery behind the markets: monetary and fiscal policy, the business cycle, leading and lagging indicators, the yield curve, major indices, and T+1 settlement.
7 terms
Terms glossary
- Broker-Dealers vs. Investment Advisers
- Clearing & Settlement
- Economic Indicators
- FINRA & the SROs
- Fiscal Policy
- Market Indices
- Market Makers
- Monetary Policy & the Fed
- Primary vs. Secondary Market
- Private Placements & Exempt Offerings
- The Business Cycle
- The Prospectus & Registration
- The SEC
- The Yield Curve
- Underwriting Commitments