Series 66 License

Series 66 License

Credits Available

  • FIN 201: Financial Management (3 credits, lower division level)
  • PLG 301: Legal Ethics and Professional Responsibility (3 credits, upper division level)

Dates Valid

September 2010 through September 2020

Issuing Agency

Financial Industry Regulatory Authority (formerly NASD)

Applying for the Credit 

Submit a Credential Credit Application to apply for the credit.

  • Charter Oak students: Log into the Acorn Student Portal and look in Student Self-Service / Student Forms.
  • Non-Charter Oak students: Contact the PLA Office to request a Credential Credit Application.

Course Descriptions

FIN 201: Financial Management (3 credits, lower division level)
Covers content on basic finance with emphasis on financial statements and ratio analysis; working capital management; capital budgeting; stocks and bonds evaluation; and financial planning and forecasting.

PLG 301: Legal Ethics and Professional Responsibility (3 credits, upper division level)
Covers content on the philosophical and practical issues, guidelines and problems in legal ethics. Students develop a basic understanding of the professional codes of conduct and the laws governing the ethical behavior of legal professionals. Specific areas covered include: unauthorized practice of law, conflicts of interests, confidentiality and privilege, proper handling of client funds, referral fees and fee splitting arrangements, retainer agreements and billing, advertising rules, and disciplinary procedures and malpractice.