SECURITIES INDUSTRY ESSENTIALS
SECURITIES INDUSTRY ESSENTIALS
2025 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 AND ((COBE MAJOR: 2.50 CUMULATIVE GPA) OR (NON-COBE MAJOR/MINOR/COBE MINOR: 60 CREDITS AND 2.00 CUMULATIVE GPA))
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 3432
3 Units
|
01/27 - 05/09 (1) | MW 11:00 AM - 12:15 PM |
Pengyu Qian
|
||
|
|||||
