FIN 2510 - Securities Industry Essentials

An introduction to the role of licensed professionals roles and responsibilities in the securities industry. The Security Industry Essentials is required to become a ‘registered representative’ in the various brokerage fields as specified by FINRA. The essentials must be completed before moving onto other examination such as the Series 6, 7, 52, 57, 79, 86, 87, and 99. This course includes a study of market operations, industry terminology, securities products, the structure and function of the markets, regulatory agencies and their functions, and regulated and prohibited practices.

Credits: 2 hours

Restrictions: Not for FIN major/minor program credit.