Investment Operations and Securities Regulation

Catalog description

This course provides investment instruction in operations, trading, markets and regulation. Content directly mirrors the actual FINRA examination. Primary study topics include Understanding Products and Their Risks; Understanding Trading, Customer Accounts, and Prohibited Activities; Knowledge of Capital Markets; and Overview of Regulatory Framework. At the end of the course material, students will be prepared for the FINRA SIE Examination. P: FIN 343 and an overall minimum GPA of 2.5 Fall Only.