2025-2026 Academic Catalog 
    
    Apr 16, 2026  
HELP
2025-2026 Academic Catalog

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

 
Prerequisite1: FIN 630  
Catalog Navigation
  Catalog Home
  Archived Catalogs
  Academic Calendars


  Academic Programs & Courses
  Undergraduate Programs (A-Z)
  Graduate & Doctoral Programs (A-Z)
  Special Programs
  Academic Programs at a Glance
  Courses
  MCORE: Maryville Core Education


  Schools and Colleges
  College of Arts and Sciences
  The John E. Simon School of Business
  School of Education
  Myrtle E. and Earl E. Walker College of Health Professions


  University Policies & Information
  Undergraduate Admission Requirements
  Graduate Admission Requirements
  Financial Matters
  Policies and Information
  Transfer Credit
  Accreditations and Memberships