Course Offerings

Securities Industry Essential (SIE) Exam Prep

Course ID: BAF-3310B2
Overview
Course Outline
Requirements
Intended Audience
More Details

A career in the financial services industry can provide the opportunity to earn a high salary, work in a fast-paced environment, and use sophisticated tools and technologies to help clients achieve their financial goals. Entry-level financial planner, advisor, and sales positions often do not require an applicant to have either previous financial-services experience or a degree for consideration. The first step for anyone considering this line of work is to pass the Securities Industry Essentials (SIE) exam. Whether you are a student, a career changer, or just curious about the financial services industry, this SIE exam prep course will provide foundational industry knowledge, important exam-related content, and test-taking tips to help you reach your goals.

Course Objectives

demonstrate knowledge of basic securities industry information including concepts fundamental to working in the industry, i.e., types of products and their risks, the structure of securities industry markets, regulatory agencies and their functions, and prohibited practices.

demonstrate an understanding of effective test-taking strategies and approaches appropriate to the SIE exam.

Outline of instruction

Overview of market participants and market structure; regulatory overview.

Equity securities; debt instruments.

Investment returns; packaged products; variable products and municipal funds.

Alternative investments; options; offerings.

Orders and trading strategies; settlement and corporate actions.

Customer accounts; compliance considerations.

Prohibited activities; SRO regulatory requirements for associated persons.

Employee conduct and reportable events.

Economic factors; investments risks.

Practice and final exam.

CEUs

Industry Standard, State or National Certification

Certification

FINRA

Website

https://www.finra.org/registration-exams-ce/qualification-exams/securit…

Certification Learning Outcomes/Requirements

Students who successfully complete this course are adequately prepared to take the Securities Industry Essentials Exam.

CE or CU Articulation

Prerequisites

None.

Text and Supplies Needed

Please click on the Details button for the most up-to-date textbook and technology requirements.

Clinical Site/Special Facilities

N/A.

Requirements for Successful Completion

90% attendance
Students must pass the final exam.

Accreditation/Special Approval Requirements

N/A

Intended Audience

This SIE exam preparation course is ideal for students and career changers seeking to enter the financial services industry by passing the SIE exam.

Specific Industry or Business Support Needs

Financial Analyst, Financial Planner, Investment Advisor, Financial Sales Representative, Wealth Management Associate, FINRA/Series 6 Customer Service Representative, Customer Relationship Advocate, Registered Operations Support/Virtual Assistant, Financial Services Consultant, Revenue Specialist.

Wake County Need for Industry Positions

Hiring companies include: Fidelity, TIAA, Vanguard, Financial and Wealth Advisor companies, and banks. Fidelity requested that Wake Tech offer this course to assist with meeting their hiring needs. The US Bureau of Labor predicts a 12.5% growth rate in the business and finance industries.