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An Introduction to Trading in the Financial Markets: Market Basics

Book Description

How do financial markets operate on a daily basis?  This first of four volumes introduces the structures, instruments, business functions, technology, regulations, and issues that commonly found in financial markets. Placing each of these elements into context, Tee Williams describes what people do to make the markets run. His descriptions apply to all financial markets, and he includes country-specific features, stories, historical facts, glossaries, and brief technical explanations that reveal individual variations and nuances. Reinforcing his insights are visual cues that guide readers through the material. While this book won’t turn you into an expert broker, it will explain where brokers fit into front office, middle office, and back office operations. And that knowledge is valuable indeed.



* Provides easy-to-understand descriptions of all major elements of financial markets

* Filled with graphs and definitions that help readers learn quickly 

* Offers an integrated context based on the author's 30 years' experience 

 

Table of Contents

  1. Cover image
  2. Title page
  3. Table of Contents
  4. Copyright
  5. Preface for the Set
    1. Features of the books
    2. Acknowledgments
  6. Preface
  7. Overview
    1. The trading process
  8. History
  9. Visual Glossary
    1. Preface
    2. Overview
    3. Part 1: entities (the players)
    4. Part 2: instruments
    5. Part 3: markets and marketplaces
    6. Part 4: functions (activities)
    7. Part 5: technology: systems, data, and networks
    8. Part 6: global markets
  10. Part 1: Entities (The Players)
    1. Introduction
    2. 1. The Buy Side
      1. Nonfinancial companies
      2. Retail investors
      3. Institutional investors
    3. 2. The Sell Side
      1. Brokers, dealers, and broker/dealers
      2. Brokers or agents
      3. Dealers (principals)
      4. Broker/dealers
    4. 3. Markets
      1. Exchanges
      2. Dealer associations
      3. Markets organized as brokers
      4. Market business models
    5. 4. Support
      1. Clearing corporations
      2. Depositories
      3. Banks
      4. Vendors
      5. Business models
    6. 5. Regulators
      1. Regulators: purpose
      2. Business models
      3. Entities not included
      4. Related information in other books
  11. Part 2: Instruments
    1. Introduction
    2. 1. Cash
      1. Equities
      2. Fixed income (interest)
      3. Currencies
      4. Commodities
    3. 2. Derivative Instruments
      1. Options
      2. Futures
      3. Forward contracts
      4. Complex derivatives
    4. 3. Packaged Instruments
      1. Mutual funds
      2. Unit trusts
      3. Exchange-traded funds
      4. Related information in other books
  12. Part 3: Markets and Marketplaces
    1. Introduction
    2. 1. The Primary Market
    3. 2. Secondary Markets
      1. Related information in other books
  13. Part 4: Functions (Activities)
    1. Introduction
    2. 1. Categories
      1. Front office
      2. Middle office
      3. Backoffice
    3. 2. Buy Side
      1. Individual investors
      2. Institutional investors
    4. 3. Sell Side
      1. Brokers, dealers, and broker/dealers
      2. Front office
      3. Middle office
      4. Backoffice
      5. Technology
      6. Other functions
    5. 4. Exchanges and Other Marketplaces
      1. Trading operations
      2. Self-regulation
      3. Listings
      4. Market data
      5. Marketing
      6. Technology
    6. 5. Support
      1. Clearing
      2. Settlement
      3. Banks
      4. Vendors
      5. Regulators
    7. 6. Education
      1. Education
      2. Educational requirements
      3. Related information in other books
  14. Part 5: Technology—Systems, Data, and Networks
    1. Introduction
      1. Systems
      2. Data
      3. Networks
      4. Related information in other books
  15. Part 6: Global Markets
    1. Introduction
  16. Part 7: Risk Management
    1. Introduction
  17. Part 8: Regulation
    1. Introduction
      1. Related information in other books
  18. Conclusion
    1. Book 2 An introduction to trading in the financial markets: trading, markets, instruments, and processes
    2. Book 3 An introduction to trading in the financial markets: technology—systems, data, and networks
    3. Book 4 An introduction to trading in the financial markets: global markets, risk, compliance, and regulation
  19. Glossary
  20. References
  21. Index