Lesson Plan 4


Evolutions of the Financial Services Industry

Lesson 4 Overview

            This instructional lesson is an extensive 6-hour lesson that highlights the evolutions of the financial services industry each experience, designed into 1 hour and 30 minutes segments. The attendees will gather into break-out groups with four individuals assigned to each group.


Resources Needed

  • Training Lab with presentation resources.
  • PowerPoint Presentation: An Introduction to Financial Markets- Paolo Brandimarte.
  • Online learning resources (http://www.dtcc.learning.com/Resources/Training)
  • Quick tip  reference guides

Performance Objective 4

          Up completing the “Expand industry knowledge” review, attendee knowledge sharing will begin. The condition, attendees must be given access to each resource identified. Instructors in training will describe the events that have impacted the high points in the industry’s growth and their understanding of the information necessary to perform day to day securities processing responsibilities. Individuals (instructors in training) will present an assessment in the form of a summary statement at the conclusion of the group discussion and presented material. Attendees will are positioned to explain, interpret and apply aspects of the financial services industry as related to their responsibilities. Doing so will ensure a higher standard of performance requirements, collaboration, and mutual understanding.


Time: Four - 1.5 hours - Lessons Summary by Topic Segment


Lesson: The Birth of (Wall Street) financial services Industry: Securities Industry

Segment 1 Topic:

    1. What is the relevance of the date, 1792 in Securities Industry?
    1. Common ATC Terminology and Key Players

Segment 2 Topics:

    1. How did the financial Crisis impact trading practices?
    2. Describe the life cycle of a trade.


Segment 3 Topics:

    1. Describe the concept of multilateral netting.
    1. Describe financial settlement best practices.


Segment 4 Topics:

    1. Identify the risk associated to fail position tracking.
    1. What are the components of securities issuance process?


Step 1: Pre-Instructional Activity

The instructor will guide the conversation about what the instructors in training already know about the U.S.Financial Markets and its evolution.

Step 2: Content Presentation

The instructor will guide lecture discussion using the slide presentation of “Evolution of U.S. Financial Markets authored by, Paolo Brandimarte.

The presentation facilitated within designation training labs on Smart Board devices, and for globally disbursed staff, the power point presentation displayed, via presentation monitor.

Step 3: Learner Participation

Learners will engage and compare industry experience based on their length of service and processing systems utilized over specified years of service.

Step 4: Assessment: Formative written summary statement- an essay which demonstrates mastery of lesson competencies combined with 10 question knowledge break-out-discussion.

Step 5: Follow-Through Activities learners will differentiate the characteristics of financial investment products, events and the relationship to services provided by the firm. Each attendee will be divided into break-out groups and respond during “open-question forum.” Instructors must complete a lesson evaluation. (Appendix A)



"In teaching others we teach ourselves"  - Proverb