Series 7 podcast · Episode 33
Settlement and Delivery
44 min of listening
Trading & Settlement. Available inside the full CertFuel Series 7 course in the app.
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Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- Settlement Cycles by Security Type
- When-, As- and If-Issued Securities
- Ex-Dividend and Ex-Rights Dates
- Good Delivery Requirements
- Book-Entry Securities and Registration
- DVP/RVP Transactions
- Regulatory Trade Reporting
- Order Tickets and Confirmations
- Market Making Activities
- Settlement Failures and Close-Out Procedures
- Options Exercise and Assignment Settlement
- Automated Execution Systems
Put this episode into practice with adaptive questions and flashcards in the full Series 7 course.