FIN 348 - Topics in Finance Certifications

3 credits
3 lecture hours.

This course covers the study of material related to finance certifications. An example of a relevant certification is the Basic Securities Industry Essentials (SIE) exam offered by the Financial Industry Regulatory Authority, Inc. (FINRA), the self-regulatory organization (SRO) which provides oversight for brokerage firms and exchange markets in the United States. Students who pass the SIE exam have up to four years to complete a top off exam covering the Series license of their choice (e.g., Series 7 for General Securities Representative, Series 65 for Uniform Investment Advisor, or Series 14 for Compliance Offer, to name a few). To take the top off exams, the candidate must be affiliated with a FINRA member firm or another qualified SRO. Passing the SIE exam will increase the attractiveness of an applicant seeking employment with brokerage firms and other companies in the financial services industry. Each semester, the specific certification for study is chosen by the instructor of the course.

Prerequisite(s) FIN 343 completed with a grade of “C” or higher
Offered (SPRING)