FIN 365 Securities Industry Essentials

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