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INVESTMENT OPERATIONS & SECURITIES REGULATION

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INVESTMENT OPERATIONS & SECURITIES REGULATION

2022 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 3566
3 Units
01/18 - 05/06 (1) MW 9:30 AM - 10:45 AM
Weineng Xu
HH2317HH2317

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