2020-2021 Academic Catalog 
    Apr 02, 2023  
2020-2021 Academic Catalog [Archived Catalog]

FIN 601 - 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. Additionally, this course challenges student to apply security industry fundamentals through projects and case studies.

Prerequisite: FIN-630