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Jan 02, 2025
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2022-2023 Academic Catalog [Archived Catalog]
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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.
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