How the US Securities Industry Works is the only book that describes the complete securities processing environment in the United States. It starts with the pre-trade activities that are conducted by individual and institutional investors and follows the progress of the different types of trades to the post settlement activities that are required to service each position in the portfolio. 
With a forward written by William F. Jaenike, former CEO of The Depository Trust Company, the book also describes how securities are created and the different types of securities that are used throughout the US today, including equities, fixed income and derivatives. The author discusses the various participants in the industry, from the traditional banks, brokers and investment managers to the industry utilities, regulators, associations and vendors that make efficient trade processing possible in the US. 
Other books on securities processing have focused on a single segment of the industry, such as brokers or banks. This book recognizes that the securities industry involves a series of complex interdependencies, and describes the relationships between the participants in a clear and easy to read style. Numerous drawings and graphics enhance the narrative and make this a must read for any serious securities processing professional.

How The U.S. Securities Industry Works

McIntyre, Hal

The Summit Group Publishing, Inc.

Most glossaries that have been created for the securities industry were written by brokers and for brokers. This glossary has a broader view. It contains terms that are used by brokers, as well as by banks, investment managers and other participants in the securities industry. When a term has more than one usage, the different definitions are shown. This glossary focuses primarily on the terms that are most often used by the operations and technical staff as well as the front office. Front office and investment terms have been defined in the context of how an operations or technical person might view them.

Securities Operations Glossary Second Edition

Business & Money

Investing

Summit Group

Many books have been written on the topic of software testing. Most of these books were written by academics and provide generic solutions so that people in every industry can use them.  This book was written exclusively for professionals in the Financial Services Industry by practitioners who have over 65 years of combined experience in building and testing financial applications. The authors have obtained their experience in a variety of firms while working in software development, testing and operational positions.  The book presents a thorough testing process that can be implemented manually, and also evaluates several automated testing tools that can support the process. There are many practical examples, Guidelines and Checklists for managers who need to test applications of all sizes and complexity; and which can be useful to banks, brokers, investment managers, insurance companies, etc.

Software Testing For Financial Services Firms

Computers & Technology

Johnson, Megan

Fortuna, Deborah

Programming

The Summit Group Press

Although much has been written about STP, most articles and books have resulted from a single view point and provide a limited scope. This book consists of chapters that were written by experts in their own fields and edited so that readers can see the relationships and interactions between these various areas. Part I introduces the concepts of STP and provides the results of some original research by The Summit Group that can be used as background material. Part II presents some of the key industry solutions that are provided by the infrastructure and associations. Part III evaluates the issues encountered by specific areas when processing trade transactions and offers some approaches and solutions that are already available to support STP. Part IV discusses several of the support processing areas that should also be included when implementing complete STP, such as Corporate Actions, Reconcilements and Accounting. And Part V offers two chapters on how to actually implement STP. This combination of original research and expert opinion results in a very useful book that helps the reader understand the issues presented by STP along with several practical and readily available solutions.

Straight Through Processing for Financial Services Firms

How the US Securities Industry Works is the only book that describes the complete securities processing environment in the United States.  It starts with the pre-trade activities that are conducted by individual and institutional investors and follows the progress of the different types of trades to the post settlement activities that are required to service each position in the  portfolio.  With a forward written by William F. Jaenike, former CEO of The Depository Trust Company, the book also describes how securities are created and the different types of securities that are used throughout the US today, including equities, fixed income and derivatives.  The author discusses the various participants in the industry, from the traditional banks, brokers and investment managers to the industry utilities, regulators, associations and vendors that make efficient trade processing possible in the US.  Other books on securities processing have focused on a single segment of the industry, such as brokers or banks.  This book recognizes that the securities industry involves a series of complex interdependencies, and describes the relationships between the participants in a clear and easy to read style.  Numerous drawings and graphics enhance the narrative and make this a must read for any serious securities processing professional.

How The U.S. Securities Industry Works, Second Edition