FIN 650 - Seminar in Financial Regulatory Practices

3 Credit(s)

Financial institutions and professionals operate in a rapidly changing regulatory environment. This course describes the operational frameworks of financial markets, financial products, and financial service providers and how they are regulated. The goal of this course is to equip participants with the knowledge of the ethical responsibilities, regulatory environment, and best practices of the financial services industry. Topical areas of the Securities Industry Essentials (SIE) exam, as well as the series 63, 65, and 66 FINRA licensure, and the CFA exams are covered in the course. The course is taught using case studies and simulated exam scenarios.