External
FIN 4430: Professional Foundations - SIE Companion
This open educational resource supports FIN 4430: Professional Foundations by providing a structured, student-friendly companion to core Securities Industry Essentials (SIE) topics. The text emphasizes professional reasoning, ethical decision-making, and applied understanding of capital markets, financial products, trading mechanics, and regulation. It is designed to supplement course readings and instruction rather than replace them, and it includes career-aligned framing, learning outcomes, an
- Author
- Andrew Carr
- Publisher
- Aurora University
- Source
- LibreTexts
- License
- CC BY
- Language
- EN
- Category
- Business Administration
Contents· 5 sections
- 01: SIE Modules
- 1.01: Capital Markets and Economic Context
- 1.02: Financial Products and Risk
- 1.03: Trading Accounts and Market Conduct
- 1.04: Regulation Compliance and Ethics