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The Florida International University College of Business

Securities Industry Essentials (SIE) Certification Review Program

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Description

Florida International University’s SIE Certification Review Program is a comprehensive, hands-on program arming participants with the tools needed to successfully perform on the FINRA’s Securities Industry Essentials (SIE) examination. The program is designed so that participants can acquire knowledge naturally and increase their confidence and mastery of the content.

Rather than serving as a crash course, FIU’s SIE intensive review program helps participants:

  • Gain an in-depth understanding of the key concepts
  • Develop a strong foundation that serves as a stepping stone to obtain the General Securities Representative registration
  • Strengthen their resume and gain the edge needed to get a “foot in the door” by accessing internship and employment opportunities in the financial industry
  • Obtain access to Wiley Efficient Learning printed materials and online resources ## Program topics

Equity and Debt Securities

  • Introduction to Equity Securities
  • Why Do People Buy Stocks?
  • Dividends, Rights, Warrants and ADRs
  • Introduction to Debt Securities
  • Types of Corporate Bonds
  • Municipal Bonds
  • Government and Government Agency Issues
  • The Money Market

Economics, Corporate Fundamentals, Issuing, and Trading Securities

  • An Introduction to Economics and Corporate Fundamentals
  • Issuing and Offering Corporate Securities
  • The Underwriting Syndicate and Exempt Transactions
  • Issuing Municipal Securities
  • Trading Securities in the Secondary Market
  • The Role of Broker Dealers and Nasdaq

Options, Investment Companies, Variable Annuities, and Retirement Plans

  • Option Basics
  • Using Options to Hedge a Position and Exercising Options
  • Investment Companies and Mutual Funds
  • Mutual Fund Investment Objectives, Valuation, and Sales Charges
  • Variable Annuities
  • Individual and Corporate Retirement Plans

Customer Accounts, Client Recommendations, Professional Conduct, and Industry Regulations

  • Customer Accounts, UGMAs, Accounts for Employees of Broker Dealers and Customer Privacy
  • Employee Conduct and Reportable Events
  • Customer Recommendations, Professional Conduct, and Taxation
  • Securities Industry Rules and Regulations
  • Registration of Agents and Continuing Education
  • Communications with the Public, Dispute Resolution, Insider Trading, SIPC, and AML

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.

Who should attend

The SIE Certification Review Program is primarily for unregistered candidates, such as students, to demonstrate their knowledge to prospective employers and jumpstart their careers. Individuals that are interested in demonstrating basic industry knowledge to potential employers would greatly benefit from this program.

Experts

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...
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