INVESTMENT OPERATIONS & SECURITIES REGULATION
INVESTMENT OPERATIONS & SECURITIES REGULATION
2024 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 | ||
|---|---|---|---|---|---|
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01-LEC 3458
3 Units
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01/22 - 05/03 (1) | MW 9:30 AM - 10:45 AM |
Weineng Xu
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