FIN 450 - Financial Practices and Regulations

3 Credit(s)

The primary objective of this course is to give students to a broad knowledge of the organization, management, and regulation of financial markets, financial products, and financial service providers. This broad exposure is intended to enable participants to familiarize themselves with the ethical responsibilities, regulatory environment, and best practices of the investments and financial services industry. A large number of topical areas of series 63, 65, and 66 FINRA licensure exams are covered in the course. Please note however, this course should not be considered as a preparatory course for FINRA licensure examinations.