INVESTMENT OPERATIONS & SECURITIES REGULATION
2022 Spring Term
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
- 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|
|01/18 - 05/06 (1)||MW 9:30 AM - 10:45 AM||