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Industry Foundations Learning Resources

Learn how the securities industry got its start in the United States as well as the basics of key topics such as clearing, settlement, securities processing, and more, in this series of interactive videos and courses. You will gain an introductory look at the financial services industry, with a focus on the role of DTCC’s offerings in bringing automation, efficiencies and reduced risk and cost to help advance the markets.

Module 1: DTCC & Solving the Paperwork Crisis

From the first U.S. publicly traded securities in the 1700s, to the “paperwork crisis” in the 1960s which brought trading to a halt, learn how DTC and NSCC were formed by the industry to bring automation to the markets, enabling exponential growth and reducing operational cost and risk.

 

Module 2: Revolutionizing Securities Processing and Reducing Risk

Learn how key processes introduced by DTCC’s subsidiaries – immobilization and dematerialization – modernized paper-based post-trade processing to the automated systems used by the financial services industry today. These processes have not only drastically reduced risks such as loss, forgery and counterfeiting, but also have served to reduce time to settlement and lower costs. Today, less than one tenth of 1% of trades in the U.S. involve paper certificates due to the processes described in this brief video.

 

Module 3 Part One: Major Types of Investment Products - Debt Securities (Bonds)

Explore the basics of the Major Types of Investment Products available in today’s markets, along with highlights of DTCC’s role in providing automation, centralization and transparency to bring greater efficiencies along with reduced risk and cost. Part One covers basics about debt securities (bonds).

 

Module 3 Part Two: Major Types of Investment Products - Equities and Other Investment Products

Explore the basics of the Major Types of Investment Products available in today’s markets, along with highlights of DTCC’s role in providing automation, centralization and transparency to bring greater efficiencies along with reduced risk and cost. Part Two explores equities, mutual funds, insurance and derivatives.

 

Module 4: Securities Industry Players and their Roles

Learn about the key participants in the securities industry and the roles they play in the trading process in this brief video. You will explore different types of security firms, including investment banks, brokers and dealers, as well as the services they provide to investors. In addition, you’ll find out about DTCC’s and industry regulators’ vital roles in keeping global financial services systems operating safely and smoothly.

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