aFIN-4022 Financial Securities
This course moves beyond a basic understanding of investment vehicles, covering topics related to the securities industry, such as types of products and their risks, the structure of the securities industry markets, regulatory agencies and their functions, and prohibited practices. Requirements related to the solicitation of the purchase or sale of corporate, municipal and U.S. government securities, options, direct participation programs, investment company products, and variable contracts will be addressed.
Prerequisite
FIN-3083