2019-2020 Academic Catalog 
    
    Apr 02, 2020  
2019-2020 Academic Catalog

FIN 401 - Financial Industry Exam Preparation 1


Credits: Three (3)
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.