2015-2016 Official General Catalog [Archived Catalog]
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BUS 183 - Securities Training Series (Series 6 and 63)
This course is designed for individuals who will be selling only investment company products (eg. Mutual funds, money market funds) and variable contracts for an NASD (National Association of Securities Dealer) broker-dealer or a bank affiliate. The Series 6/Series 63 course will effectively prepare them for the qualifying exams (Series 6-Federal, Series 63-NYS). Requires broker/dealer sponsorship to sit for federal/state exams.
Credits: 4
Hours
4 Class Hours
Course Profile
Learning Outcomes of the Course:
Upon successful completion of this course the student will be able to:
1. Think critically and demonstrate an understanding of and discuss the interrelationships between the primary offerings of the following securities: closed-end companies, mutual funds, unit investment trusts and variable products (annuities and insurance premiums).
2. Be aware of and be able to explain the relevant state law, rules and regulations for broker-dealer registered representatives that focus on the Uniform Securities Act and the Statement of Policy and Model Rules adopted by the North American Securities Administrators Association (NASSA).
3. Explain the differences among various employer/employee and individual retirement account options relevant to contribution and distribution options, tax consequences, costs/fees, and other characteristics that would be required of a Registered Representative/Securities Agent.
4. Demonstrate knowledge of ethical practices and fiduciary obligations pertinent to the securities industry.
5. Possess a means to successfully complete the Federal Securities Series 6 licensing exam administered by the Financial Industry Regulatory Authority (FINRA), (formerly the National Association of Securities Dealers or NASD).
6. Possess a means to successfully complete the Federal Securities Series 63 licensing exam (also called the “Uniform Securities Agent State Law Examination”.
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