Guide to the Financial Markets

3 Credits: Finance


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Guide to the Financial Markets

Course Level
CPE Credits

3 Credits: Finance

Course Description

The financial markets support the worldwide economic system, so it makes sense to have a basic understanding of how they operate. In the Guide to the Financial Markets course, we explore the major financial markets, including the bond, equity, foreign exchange, futures, international debt, and money markets. The course addresses such matters as how bonds are sold, the yield curve, the requirements of the different stock exchanges, dark pool trading, short selling, foreign exchange investing strategies, futures contracts, sweep accounts, and repurchase agreements. This guide is useful for those professionals who want to learn more about the financial markets.

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Learning Objectives

Upon successful completion of this course, participants will be able to:

  • Recognize the parties that invest in the financial markets.
  • Recall the characteristics of a successful financial market.
  • Recognize the issues that can impact the prices of the different types of securities.
  • Recall the different types of bond credit ratings, and what they represent.
  • Recognize the characteristics of the over-the-counter bulletin board.
  • Recall when securities are listed on the Pink Sheets.
  • Recognize the characteristics of dark pools.
  • Specify the process used to take a company public.
  • Recall the reasons why a business might conduct a stock buyback.
  • Recognize the process by which shares are sold short.
  • Recall the best practices for investing in stocks.
  • Recognize the characteristics of a futures contract.
  • Specify the types of commodities that are traded on futures exchanges.
  • Recall the characteristics of the money market.
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Course Specifics

Course ID
Revision Date
May 18, 2024

There are no prerequisites.

Advanced Preparation


Number of Pages

Compliance Information

NASBA Provider Number: 103220

CMA Notice: Western CPE makes every attempt to maintain our CMA CPE library, to ensure a course meets your continuing education requirements please visit Insitute of Management Accountants (IMA)

CFP Notice: Not all courses that qualify for CFP® credit are registered by Western CPE. If a course does not have a CFP registration number in the compliance section, the continuing education will need to be individually reported with the CFP Board. For more information on the reporting process, required documentation, processing fee, etc., contact the CFP Board. CFP Professionals must take each course in it’s entirety, the CFP Board DOES NOT accept partial credits for courses.

Meet The Experts

Steven M. Bragg, CPA, is a full-time book and course author who has written more than 300 business books and courses. He provides Western CPE with self-study courses in the areas of accounting and finance, with an emphasis on the practical application of accounting standards and management techniques. A sampling of his courses include the The New Controller Guidebook, The GAAP Guidebook, Accountants’ Guidebook, and Closing the Books: An Accountant’s Guide. He also manages the Accounting Best Practices podcast. Steven has been the CFO or controller of both public and private companies and has been a consulting manager with Ernst & Young and …