FIN 365 - Securities Industry Essentials

Institution:

Immaculata University

Subject:

Finance

Description:

This course provides the basic securities industry concepts necessary to master the SIE Exam, an introductory-level FINRA exam, and prep for the Series Exams. The course is broken into four principle sections: knowledge of capital markets; understanding products and their risks; understanding trading, customer accounts and prohibited activities; and an overview of the regulatory framework. All areas addressed in the course are fundamental to careers in investment banking, wealth management, and securities sales and trading. Pre-requisite: FIN 362

Credits:

3.00

Credit Hours:

Prerequisites:

Corequisites:

Exclusions:

Level:

Instructional Type:

Lecture

Notes:

Additional Information:

Historical Version(s):

Institution Website:

www.immaculata.edu

Phone Number:

(610) 647-4400

Regional Accreditation:

Middle States Association of Colleges and Schools

Calendar System:

Semester

The Course Profile information is provided and updated by third parties including the respective institutions. While the institutions are able to update their information at any time, the information is not independently validated, and no party associated with this website can accept responsibility for its accuracy.