courses.uww.edu »

INVESTMENT OPERATIONS & SECURITIES REGULATION

Jump to Menu

INVESTMENT OPERATIONS & SECURITIES REGULATION

2021 Spring Term

3 Units

Finance & Business Law 387

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.

Other Requirements: PREREQ: FNBSLW 344, ADMISSION TO UPPER DIVISION AND 2.50 COMBINED CUMULATIVE GPA FOR BUSINESS MAJORS, 60 CREDITS AND 2.00 COMBINED CUMULATIVE GPA FOR MINORS/NON-BUSINESS MAJORS FOR WHICH THIS COURSE IS AN OPTION

Class Schedule

Disclaimer

  • This schedule is informational and does not guarantee availability for registration.
  • Sections may be full or not open for registration. Please use WINS if you wish to register for a course.
Section Details Meeting Details & Topic Instructor Syllabus
 
01-LEC 2488
3 Units
01/19 - 05/07 (1) MW 9:30 AM - 10:45 AM
Weineng Xu
HH2309HH2309
01/19 - 05/07 (1)
Weineng Xu
HYBRID

Jump to Top

Catalog Selection

Course Navigation

Go ToGo To ResetReset

Class Filter

RefreshRefresh ResetReset

Links