Securities Industry Essentials (SIE) Exam Prep

The securities industry, which includes investment banking, trading, and asset management, continues to demonstrate strong growth with a projected 7% growth rate by 2023, according to the U.S. Bureau of Labor Statistics. This growth is mainly fueled by increasing complexity in financial products, technological advancement, and demand for personalized wealth management services. The industry is also undergoing significant transformation with the rise of fintech, algorithmic trading, digital...

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3 Months / 60 Course Hrs
Open Enrollment
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Texas A&M University - Corpus Christi

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Securities Industry Essentials (SIE) Exam Prep

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Course code: GES2169

What you will learn

  • Gain knowledge of capital markets
  • Understand products and their risks
  • Review trading, customer accounts, and prohibited activities
  • Acquire an overview of regulatory framework

How you will benefit

  • Stand out and distinguish yourself from your peers who are also seeking internships or jobs
  • Apply your new knowledge and skills towards jumpstarting your career goals
  • Get immediate notice of your pass/fail status from the practice final exams—with performance feedback if you fail
  • Possess increased marketability in the financial services industry
  • Prepare for the Securities Industry Essentials (SIE) Exam

How the course is taught

  • Self-paced, online course
  • 3 Months to complete
  • Open enrollment, begin anytime
  • 60 course hours
  1. Welcome
  2. Equities
  3. Debt Fundamentals
  4. Additional Bond Features
  5. Corporate and US Government Debt
  6. Municipal Debt and Money Market Instruments
  7. Packaged Products
  8. Trading Markets
  9. Trade Processing and Settlement
  10. Options
  11. Individual Customer Accounts and Suitability
  12. Other Account Types
  13. Retirement Plans, Variable Annuities, and Municipal Fund Securities
  14. Primary Market
  15. Act of 1934 and Other Federal and State Regulations
  16. Self-Regulatory Organization (SRO) Rules
  17. Economic Analysis and Tax Rules

This is not an instructor-facilitated course. However, support will be provided through email, online forms, and phone calls.

Prerequisites:

There are no prerequisites to complete this course.

Certification Requirements:

The SIE certification exam is open to anyone aged 18 or older, including students and prospective candidates interested in demonstrating basic industry knowledge to prospective employers. Association with a firm is not required to take the SIE, and results are valid for four years.

Requirements:

Hardware Requirements:

  • This course can be taken on either a PC, Mac, or Chromebook.

Software Requirements:

  • PC: Windows 10 or later.
  • Mac: macOS 10.6 or later.
  • Browser: The latest version of Google Chrome or Mozilla Firefox is preferred. Microsoft Edge and Safari are also compatible.
  • Microsoft Word Online
  • Adobe Acrobat Reader
  • Software must be installed and fully operational before the course begins.

Other:

  • Email capabilities and access to a personal email account.

Instructional Material Requirements:

The instructional materials required for this course are included in enrollment and will be available online.

According to Indeed, the average salary for a financial analyst is $79,127 per year in the U.S.

 A financial analyst evaluates financial data to help businesses and individuals make informed decisions, analyzing financial statements, market trends, and economic conditions to forecast future performance and provide investment recommendations.

According to ZipRecruiter, the average salary for an investment analyst in the U.S. is around $85,807 per year. This can vary based on experience with entry-level positions closer to $60,000 and those with 10-20 years of experience earning six-figure salaries.

An investment analyst researches and analyzes financial data to help guide investment decisions, often specializing in specific sectors, asset classes, or geographic regions, and provides insights to portfolio managers and other investment professionals.

Yes. This course prepares students to sit for the Securities Industry Essentials (SIE) Exam through the Financial Industry Regulatory Authority (FINRA).

After you register, you will receive three (3) months to complete the course. The time allotted for completion has been calculated based on the number of course hours.

This course is open enrollment, so you can register and start the course whenever you are ready. Access to your course can take 24-48 business hours.

The time allotted for course completion has been calculated based on the number of course hours. However, if you are unable to complete the course, contact the student advising team to see what options you may have available to work out a suitable completion date. Please note that an extension fee may be charged.

Our courses are designed to accommodate various learning preferences. Depending on the course structure, you may get different forms of support. Self-paced courses are designed to be user-friendly and independent, minimizing the need for external support. In courses with instructors, our direct platform support feature includes opportunities for questions, discussions, and remediation, with email and phone support available for select courses. Our student advising team is available to guide you on program requirements and administrative requests, but they do not provide assistance with course content. Our goal is to provide you with the necessary support for success, whether it's through self-paced exploration, direct communication, or guidance from our advising team.

Upon successfully passing the final exam, you will be awarded a certificate of completion from the school or organization that you registered through.

ed2go courses will help you gain the skills you need to obtain an entry-level position in most cases. However, you should always research the job market in your area before enrolling.

ed2go courses are non-credit, so they do not qualify for federal aid, FAFSA, and Pell Grant. In some states, vocational rehab or workforce development boards may provide funding to take our courses. Additionally, you may qualify for financial assistance if you meet certain requirements. Learn more about financial assistance.

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