FIN 413 - General Securities Brokerage Theory and Practice

3 Credits

This course is designed to prepare the student to take the FINRA Series 7 General Securities Representative Qualification Examination. Individuals who hold The Series 7 are officially listed as "registered representatives" by FINRA. The course focuses on topics that relate to the critical functions and tasks of financial planners and securities brokers. Topics covered include the organization, participants, and functions of securities markets, as well as the principle factors that affect them; the transaction procedures for various securities; forming and monitoring investment portfolios and maintaining investment accounts. Upon completion of the course, and successfully passing all examinations and quizzes, the student will be sufficiently prepared with the requisite knowledge to sit for the examination and presumably do well. Neither Post University, nor the Malcolm Baldrige School of Business guarantees that successful passage of this course will result in successful passage of the Series 7 Examination itself. No guarantee that the student will pass the exam is made hereby or represented by the University or Malcolm Baldrige School of Business. The Series 7 Licensure qualifies an individual to perform in the position of a general securities representative, including sales of corporate securities, investment company securities, variable annuities, direct participation programs, options and government securities. Individuals must be sponsored by a FINRA member firm to sit for the Series 7 Exam. For more information, please got to the following link: http://www.finra.org/industry/registration-qualificaiton-exams.
Prerequisites: FIN 280 or permission of the Academic Department.