Equity Session 13 R.55 Market Organization and Structure Main Functions of the Financial Market Fulfill different entities’ requirements Determine interest rates Allocate capital to its most efficient uses Intermediaries of Financial Market Brokers, Dealers and Exchange Securitizers Depository Institutions Insurance Companies Arbitrageurs Clearinghouses and Custodians Market Regulation Classification of assets Financial Assets Security Fixed income vs. Equity Securities Public vs. private Currency Contract Real Assets Commodity Real Assets Positions an investor can take in an asset Long Position Short Position Leveraged Position Classification of markets Primary vs. Secondary markets Money vs. Capital markets Traditional vs. Alternative markets How securities are sold through primary market Sold Publicly Underwritten Offering Best Efforts Indications of Interest Sold Privately Private placement Other transaction methods Shelf registration Dividend Reinvestment Plan Rights Offering Competitive bids
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