IO = Infrequently Offered Course
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FI 0295 |
Professional Selling for
Financial Service Agents |
3 Credit Hours |
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Prerequisite: |
None |
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An introduction to the
basic principles of sales stressing consultative style selling for financial
service representatives including development of a marketing plan and
managing a client’s financial plan. Emphasis
is placed on referral type selling, identification of client needs and wants,
buying motives, handling resistance, closing the sale, team selling and
providing financial advice before, during, and after the sale. Emphasis will be placed on presenting a
marketing plan and role-playing exercise. |
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FI 0296 |
Money and Banking |
3 Credit Hours |
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Prerequisite: |
FI 0540 AIB:
Principles of Banking, EC
2241 Microeconomics, and
EC 2242 Macroeconomics |
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Money and Banking is a course
designed to provide the student with a broad-based knowledge of the inner
workings of the U.S. Banking system.
The course is the study of the way in which money is created in a
modern 21st century economy.
It is the story of how the banking system “creates” money with the
assistance of and under the influence of any nation’s Central Bank, in the |
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FI 0297 |
Introduction to Financial
Planning |
3 Credit Hours |
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Prerequisite: |
None |
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Introduction to Financial
Planning introduces students to the importance of financial planning. Students will gain specific knowledge of various
financial products and learn to assess a client’s financial needs by
evaluating current financial situations using net worth, rate of savings, and
cash flow. Students will also examine
how personal factors such as risk tolerance, goals, and time frame affect a
client’s investment decisions. |
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FI 0298 |
Financial Management |
3 Credit Hours |
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Prerequisite: |
AC 0201 Financial Accounting and AC 0503
Managerial Accounting |
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Financial Management enables
a student to obtain a working knowledge needed to apply the financial
decision making process to a manager’s financial operating decisions for his
or her organization. Emphasis is
placed on financial terminology, investment portfolios, risk, as well as the
decision making process needed for both short and long term business
financing. The course also provides
the student with a working knowledge and understanding of stock and bond
markets, interest rates, dividend policies, forecasting and project financial
evaluation. |
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FI 0299 |
Life, Accident, and
Health Insurance |
3 Credit Hours |
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Prerequisite: |
None |
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Life, Accident, and
Health Insurance examines life, accident, and health insurance simultaneously,
from the viewpoints of the buyer, the advisor, and the insurer. The course offers a thorough examination of
life insurance company operations and regulations. Explaining how the life, accident, and
health insurance products fit into the broad framework of financial planning
from a financial management perspective, it now strengthens its treatment of
fundamentals with more economic and financial theory and helps clarify the
industry’s global standing with numerous comparisons between |
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FI 0300 |
Introduction to
Investments |
3 Credit Hours |
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Prerequisites: |
AC 0201 Financial Accounting and EC 2241
Macroeconomics |
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Introduction to Investments
is a course designed to assist the student in acquiring an overview of the
securities industry. The course
includes investment markets, investment vehicles and transactions, and
investment planning and risk return.
Specific vehicles such as equity securities, fixed income securities
and convertible securities are analyzed and correlated with Portfolio Theory
and Analysis. |
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FI 0303 |
General Securities
Registered Representative Pre-Licensing Series 7 |
3 Credit Hours |
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Prerequisite: |
None |
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Pre-Licensing Series 7
General Securities Registered Representative is a course that enables
students to prepare for the Series 7 examination sponsored by the National
Association of Securities Dealers (NASD).
The NASD, who sponsors the Series 7 examinations, does not approve nor
disapprove of this course offering.
The course is designed to measure accurately and reliably the degree
to which each candidate possesses the knowledge, skills, and abilities needed
to perform the critical functions of a registered representative (RR). This course covers Options, Regulations,
Equities, New-Issues, Investment Analysis, Taxes and Tax Shelters, Investment
Companies, Trading Markets, Customer Accounts, Debt Securities, Equity
Securities, Government Securities, Direct Investments, and Margin Accounts. |
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FI 0304 |
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3 Credit Hours |
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Prerequisite: |
None |
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The Uniform Securities
State Agent Law course is designed, along with other required financial courses,
to prepare candidates to sit for the National Association of Securities
Dealers (NASD) Series 63 examination.
The examination covers the principles of securities regulation
reflected in the Uniform Securities Act (with amendments adopted by the National
America Security Agency Association [NASAA] prohibiting dishonest and
unethical business practices). The
National Association of Securities Dealers (NASD), which sponsors the Series
63 examinations, does not approved nor disapprove of
this course for learning purposes.
Topics stressed in this course are:
Fraudulent & Prohibited Activities; Licensing Requirements;
Registration of Securities; Regulatory Oversight; Definition of terminology
associated with the Uniform Securities Agent State Law. |
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FI 0306 |
Pre-Licensing Series 6
Limited Representative |
3 Credit Hours |
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Prerequisite: |
None |
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The Pre-Licensing Series
6 Limited Representative course is offered to prepare the student for the Series
6 examination sponsored by the National Association of Securities Dealers
(NASD), who sponsors the Series 6 examinations, does not approve nor
disapprove of this course for learning purposes. Included in this course is the study of
securities and securities markets, investment companies, prospectus
regulations, annuities and variable contracts, retirement plans, rules and
regulations, client accounts, investment recommendations, and brokerage
office procedures. |
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FI 0540 |
AIB: Principles of Banking |
3 Credit Hours |
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Prerequisite: |
None |
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Money and Banking
presents a fundamental treatment of how money functions in the |
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FI 0591 |
Basic Marketing |
3 Credit Hours |
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Prerequisite: |
None |
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For students who intend
to specialize in marketing or in any specific segment of the marketing system
such as marketing research, the basic course in marketing ordinarily is the
foundation stone of the program in their area of specialization. A group of nonbusiness
students for whom a basic marketing course typically is required includes
those in fields as financial services, home economics, distributive
education, and pharmacy. Finally, the
beginning marketing course may be taken by nonbusiness
students on a purely elective basis simply because of their general interest
in the field, or, for the general purposes of broadening their outlook and
learning something about our business system.
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