Series 65: Steps In A Typical Securities Trade

Taken from our Series 65 Online Guide

Steps in a Typical Securities Trade

  1. 1. Investor contacts a broker to buy securities.
  2. 2. Broker places the investor’s order either by telephoning a trader or by using an electronic trading network.
  3. 3. Order is routed. Possibly to an exchange (NYSE or NASDAQ), a market maker, an Electronic Communications Network, or a registered Alternative Trading System or other dark pool, which electronically matches buyers and sellers and does not require the use of an

Since you're reading about Series 65: Steps In A Typical Securities Trade, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 65
Please Enable Javascript
to view this content!