Synopsis
Written for both individual investors and securities professionals, an in-depth guide to securities processing looks at the core of underwritings, new and established trading markets, transaction processing, margin, and brokerage firms' relationships with commercial banks, transfer agents, depositories and more.
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About the Author
David M. Weiss has been active in the brokerage industry for more than thirty-five years. Currently an independent consultant and lecturer, he was formerly the director of business, industry, and product training for a major international investment bank, vice president of new products for a primary marketplace, and chief operations officer of a broker dealer as well as holding other management positions.
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