OKLAHOMA CITY COMMUNITY COLLEGE

FIN 2123 - Securities and Insurance Licensing

 
 

SEMESTER:  SPRING 2000                                                    SECTION NO:

LOCATION: 2N5                                                                    TIME:
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INSTRUCTOR INFORMATION:

NAME: Ramachandran, Vijayan (VJ)
           Professor of Business

OFFICE: 2R3

OFFICE HOURS:
Monday:       By Appointment
Tuesday:       10:00am - 11am & 12:30 - 4:30pm
Wednesday:  10:00am - 11am & 12:30pm - 5:30pm
Thursday:      By Appointment
Friday:           By Appointment

 

TELEPHONE: 682-1611, ext 7220
E-MAIL : vramachandran@okc.cc.ok.us

TELEPHONE: 682-1611, ext 7220

E-MAIL : vramachandran@okc.cc.ok.us

LEARNING MATERIALS:

Text: EXAMCO : Series 6 , 1998 and Computer disk.

EXAMCO : Series 63, 1998 and Computer disk.
 
 
 

COURSE DESCRIPTION: The course provides an understanding of the structure and operation of securities market, mutual funds, the nature of share ownership, and the federal regulations that govern the marketing, sale, and taxation of fund shares. Basic understanding of securities that make up an investment’s company’s portfolio, and the risk factors associated with investing.(Series 6)

The course continues with the discussion of the state law regulating the business conduct of investment advisers and financial planners. Legal definitions of relevant terms, what constitutes a fraudulent or deceptive act, which persons and securities must be registered, the regulatory powers of state authorities, and the penalties they may face violating state law.(Series 63).
 
 
 
 
 
 
 
 

ASSIGNMENT:

To complete Fin 2133, Securities and Insurance Licensing, you are required to:

PRIOR TO OUR CLASS MEETING DO THE FOLLOWING:

  1. 1. Read chapters prior to lecture
  2. 2. After reading each chapter work on the computer quiz.
  3. 3. Just take one quiz at a time. Repeat the cycle until you get 90% or higher

    4. on the quiz.

    ON CLASS DAY

  4. 1. I will go through some of the key issues on each chapter.
  5. 2. Upon completion of each chapter students will take the computer test. Each test will be 30 minutes.
  6. Once all the chapter test has been completed the students will take the final test.
  7. Students may repeat the test as many times as the disk allows.
  8. For class grading purpose I will take the highest score of the first 4 attempts of each test.
  9. 6. I will also take the highest score of the first 4 attempts of the final test.
 
  CLASS SCHEDULE:

3/24/00 & 3/25/00 Securities & Markets

3/25/00 & 3/26/00 Open-End Investment Companies

3/31/00 & 4/1/00 Variable Annuties & Security Industry Regulation

4/1/00   & 4/2/00 State securities Laws, Registration of personnel, Securities Registration, Prohibited Practices, & Regulatory Oversight

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* Oklahoma City Community College complies with Section 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act 1990. Students with disabilities who need special accommodations should make their request in the following way :

1) Talk with your instructor after class or during office hours about your disability or special accommodation needs related to work in class.

2) Complete the Services to Students with Disabilities Intake/Referral Form* provided in the office of Services to with Disabilities (unless this has been completed during the enrollment process). For additional information call 682-7520 V/TTY.
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

 ATTENDANCE POLICY:

AT Oklahoma City Community College a student may be dropped (administratively withdrawn) from class if that student has excessive absences that, in the judgment of the faculty, would preclude the successful completion of course objectives.

It is mandatory for students to complete all examination within the given time frame. (If you fail to meet this requirement and fail to officially withdraw from the class will be given a grade of "F".)

While I may elect to withdraw a student due to absences, it is your responsibility to officially withdraw if you cease to attend review session. Any student who does not successfully complete the course objectives and who has not officially withdrawn from class will be given a grade of "F".

EXAMINATION AND GRADING:

A letter grade will be assigned according to the following scale:

A = 90 - 100%

B = 80 - 89.99%

C = 70 - 79.99%

D = 60 - 69.99%

F = 0 - 59.99%

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