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A Guide to Investment Banking and Securities Market

Explore primary and secondary market processes, investment banking fundamentals, types of orders, margin trades, and market regulations in the security market realm. Gain insights into underwriting, distribution, placement, and trading practices.

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A Guide to Investment Banking and Securities Market

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  1. Primary Market • Investment Banking Process • Basic services: • Advice • Underwriting • Distribution • Competitive Underwriting • Negotiated underwritng • Private Placement • Public Placement • Issuing Costs

  2. Secondary Market • The NYSE • Commission Brokers • Floor Brokers • Registered Traders • Specialists • Maintain limit order book • market making • Listing Requirements • Super DOT system • The American Stock Exchange and other regional exchanges

  3. Secondary Markets (cont’d) • The Over-the-counter Market • NASDAQ • The Third Market • The Fourth Market • Instinet • POSIT

  4. Types of Orders • Round lot vs odd lot • market order • limit order • stop order • day order • good-till-cancelled order • program trading • block trades

  5. Margin trades • Initial margin • Maintenance margin • Actual margin • Short sales • Types of trading costs • Bid-asked spreads • Commissions • Price impacts • Tax effects

  6. Security Market Regulation • Securities and Exchange Commission • Commodity Futures Trading Commission • Security Investors Protection Corporation

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