2017-2018 Academic Catalog 
    Oct 07, 2022  
2017-2018 Academic Catalog [Archived Catalog]

FIN 601 - Financial Industry Exam Preparation 1

Credits: Three (3)
Prerequisite: FIN-630
This course prepares students for licensing in the securities industry. The course exposes students to topics in the securities industry, including governmental regulation, necessary documentation, the role of a broker/dealer, the role of a registered representative, opening client accounts, equity securities, debt securities, options, funds, annuities, and suitability requirements. Additionally, this course challenges student to apply security industry fundamentals through projects and case studies.