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Level 6 Diploma in Accounting and Business

Securities Trading Procedures and Execution

AB603 · Financial Securities Markets — Week 7 of 16

CourseAB603
Week7 of 16
SemesterI
TutorOnline in the course chat

This week’s topics

Securities Trading Procedures and Execution

  1. Primary versus secondary markets
  2. Order-driven and quote-driven platforms
  3. Clearing and settlement cycles
  4. Central counterparty clearing
  5. 19. Investment Banks

What you will be able to do

  • 1.3 Assess the impact of regulations and procedures used in trading securities.

Activity

Start with this week’s video, then: Seminar, guided reading and a short written task: assess the impact of regulations and procedures used in trading securities.

Study materials

Videos

  • How orders affect the order book · YouTube · Udacity · 4 min · for registered students
  • How orders get to the exchange · YouTube · Udacity · 4 min · for registered students

Further resources

  • Financial Services and Markets Act 2000 · Reading · legislation.gov.uk, legislation · for registered students
  • Money and Banking, ch. 2: The Financial System · PDF · Saylor Academy, textbook chapter; pp. 12–36 · for registered students
  • Introduction to Business 2e, ch. 16: Understanding Financial Management and Securities Markets · PDF · OpenStax, textbook chapter; pp. 551–584 · for registered students
Materials marked “for registered students” open in the student portal, which is set up as soon as you receive final acceptance.
Week 6Midterm
Course chat

Admitted students ask questions on this week’s page in the student portal: an AI assistant trained on the course answers first, and during the course’s timetabled classes Connect to your tutor brings your tutor into the chat, who may start a call if needed.

Open this week in the portal
Course plan
  • Week 1: Equity and Debt Securities
  • Week 2: Derivatives and Hybrid Instruments
  • Week 3: Strategic Uses of Securities
  • Week 4: Foundations of Investment Theory
  • Week 5: Valuation of Financial Assets
  • Week 6: Market Analysis and Market Efficiency
  • Week 7: Securities Trading Procedures and Execution
  • Midterm: Midterm evaluation
  • Week 9: The Rationale for Financial Regulation
  • Week 10: Regulatory Architectures and Statutory Frameworks
  • Week 11: Trading Regulations and Market Integrity
  • Week 12: Applying Financial Securities Markets in practice: case stu…
  • Week 13: Assignment workshop: research, planning and referencing
  • Week 14: Assignment workshop: drafting, feedback and improvement
  • Week 15: Review and coursework completion
  • Final: Final assessment and submission
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