Enrollment is now open for the Fall 2020 course, FIN 2510 Securities Industry Essentials. As an introduction to the role of licensed professionals roles and responsibilities in the securities industry, the Security Industry Essentials course is required to become a ‘registered representative’ in the various brokerage fields as specified by the Financial Industry Regulatory Authority (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 lecture series, taught on campus by Professor Michael A. Storms, 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.