Description:

The FINRA Series Securities Industries Essentials course provides a comprehensive overview of the securities industry essentials, including regulations, market structures, and key concepts required for anyone looking to enter the financial services industry. This course covers essential topics such as securities markets, investment products, regulatory agencies, and industry best practices.

Key Highlights:

• Regulatory overview of securities industry
• Key concepts in securities markets
• Introduction to investment products

What you will learn:

• Understand securities market regulations
  Learn about the regulatory framework governing the securities industry and the role of regulatory bodies like FINRA and the SEC.
• Explore market structures and practices
  Gain insights into different market structures, trading practices, and the impact of technology on the securities industry.
• Identify key investment products
  Familiarize yourself with various investment products such as stocks, bonds, mutual funds, and ETFs, and understand their characteristics and risks.

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  Note: These are the short notes only for the reference and education prepared by the experts with the purpose to help candidates who are preparing for the FINRA Certifications Exams. Daanik would not be responsible for any kind of authenticity of the content. Please refer the book and other resources provided by the FINRA for authenticity purpose.