Securities Industry Essentials (SIE) Certificate Program

The Florida International University College of Business

What are the topics?

The Florida International University College of Business

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Who should attend

  • Professionals wishing to enter or re-enter the finance field or gain securities industry knowledge
  • Finance students at both the undergraduate and graduate level

About the course

If you want to work in the financial services, this program is your ideal starting point. The program covers all basic knowledge of industry concepts required to become a financial-services professional and prepares you to take the Securities Industry Essentials (SIE) exam. Passing the SIE exam demonstrates industry know-how to potential employers and gives you an advantage over job competitors. In addition, our Securities Industry Essentials program paves the way for you to later take top-off exams like Series 6 and 7.

Learning Objectives

  • Gain a clear understanding of the key concepts needed to pass the SIE examination
  • Develop a solid foundation of relevant financial topics, which will facilitate subsequent understanding of more advanced topics

KEY TOPICS

  • Equity and Debt Securities
  • Economics, Corporate Fundamentals, Issuing, and Trading Securities
  • Options, Investment Companies, Variable Annuities, and Retirement Plans
  • Customer Accounts, Client Recommendations, Professional Conduct, and Industry Regulations

Learning Outcomes

This program will help participants gain a clear understanding of the key concepts needed to pass the SIE examination and develop a solid foundation of relevant financial topics that facilitate subsequent understanding of more advanced topics.

About the SIE Exam

The Securities Industry Essentials (SIE or Essentials) Exam is a new FINRA exam for prospective securities industry professionals. This introductory-level exam assesses a candidate’s knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

Passing the Essentials exam alone does not qualify an individual for registration with a FINRA member firm or to engage in securities business. In order to become registered to engage in securities business, an individual must pass the Essentials exam and a qualification exam appropriate for the type of business the individual will engage in. The individual must be associated with a member firm to take a qualification exam.

SIE Essentials exam results are valid for four years.

The Securities Industry Essentials (SIE) Exam Content Outline provides a comprehensive guide to the range of topics covered on the exam, as well as the depth of knowledge required. The outline is comprised of the four sections. The table below lists the allocation of exam questions for each section.

Experts

Flavio Carrillo

Flavio Carrillo is the director of the Capital Markets Lab and a member of the finance faculty at Florida International University’s College of Business. As director, he oversees all of the lab’s initiatives including community outreach programs. A former teacher with Miami-Dade County Public Sc...

Securities Industry Essentials (SIE) Certificate Program at The Florida International University College of Business

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Disclaimer

Coursalytics is an independent platform to find, compare, and book executive courses. Coursalytics is not endorsed by, sponsored by, or otherwise affiliated with any business school or university.

Full disclaimer.

Because of COVID-19, many providers are cancelling or postponing in-person programs or providing online participation options.

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