2022-2023 Academic Catalog 
    
    Jul 19, 2024  
2022-2023 Academic Catalog [Archived Catalog]

FIN 401 - Financial Industry Exam Preparation I


Credits: 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.