About This Chapter
Market Participants & Structure - Chapter Summary
Whether you're looking to learn more about economic agents, market types or the Options Clearing Corporation, this engaging chapter can help! Our instructors provide in-depth examinations of these and other topics related to market participants and structure, making it easy to build your knowledge and confidently do the following:
- Describe brokers and dealers in the stock market
- List types and describe roles of economic agents
- Define the Depository Trust and Clearing Corporation
- Outline the history and discuss responsibilities of the Options Clearing Corporation
- Differentiate between primary, secondary, tertiary and quaternary markets
This chapter is flexible, allowing you to select lessons to study and determine the sequence in which to navigate them. You can also decide when and how often to visit based on your personal schedule and study needs. In addition to the lessons, we offer multiple-choice quizzes to test your knowledge of key topics and a practice exam to check your understanding of the whole chapter. The dashboard traces your steps through the chapter and lets you submit lesson questions to our experts.
1. Dealers & Brokers in the Stock Market
The New York Stock Exchange serves as a marketplace for dealers and brokers to buy and sell stocks. In this lesson we will examine the distinction between dealers and brokers.
2. Economic Agents: Types & Roles
Economic agents influence the economy at large and capital markets specifically. In this lesson, we'll look at the categories of economic agents and financial individuals and organizations that act as economic agents.
3. Market Types: Primary, Secondary, Third & Fourth Markets
How are securities bought and sold? Though many people are familiar with exchange trades, that's not the only way trades can happen. In this lesson, we'll look at the four major capital markets and the trades made on each.
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Other chapters within the SIE Exam Study Guide course
- Federal Laws & Regulations in the Securities Industry
- Regulatory Entities & Agencies
- Federal Reserve & Market Impacts
- Economic Factors
- Equity Securities
- Debt Instruments
- Options in the Financial Industry
- Investment Companies & Packaged Products
- Municipal Fund Securities
- DPPs, REITs & Hedge Funds
- Exchange-Traded Products (ETPs)
- Overview of Investment Risks
- Trading Orders & Strategies
- Investment Returns & Trade Settlement
- Corporate Actions
- Customer Account Types & Registrations
- Anti-Money Laundering (AML)
- Books, Records & Privacy in Finance
- Public Communications & Suitability Requirements
- Prohibited Activities in the Financial Industry
- Regulatory Framework in the Security Industry