Security Industry Essentials: Pre-licensure
The Certificate of Completion (CCL) in Security Industry Essentials: Pre-licensure is designed to prepare students for the Financial Industry Regulatory Authority (FINRA) Securities Industry Essentials (SIE) Examination required for entry-level positions in the security industry.
This program is not eligible for Title IV Federal Financial Aid.
Students must earn a grade of C or better in each course in the program.
This pathway map will help you gain the expertise needed to:
- Evaluate professional behavior and ethical responsibilities in accordance with industry standards.
- Describe the regulations, rules, and prohibitive actions related to the securities industry.
- Identify trading mechanics and corporate actions.
- Explain the purpose, registration, distribution, and filing requirements of various types of offerings.
- Analyze risks, rewards, and tax benefits associated with various types of investments, alternative investments, and securities to meet client goals.
- Demonstrate readiness for the FINRA Securities Industry Essentials (SIE) Examination.
Successful completion of this certificate may lead to employment in a variety of different occupations and industries. Below are examples of related occupations with associated Maricopa County-based annual median wages* for this certificate. Education requirements vary for the occupations listed below, so you may need further education or degrees in order to qualify for some of these jobs and earn the related salaries. Please visit with an academic advisor and/or program director for additional information. You can click on any occupation to view the detail regarding education level, wages, and employment information.
Financial Sales Agents
Course Sequence by Term
The following is the suggested course sequence by term. Please keep in mind:
- Students should meet with an academic advisor to develop an individual education plan that meets their academic and career goals. Use the Pathway Planner tool in your Student Center to manage your plan.
- The course sequence is laid out by suggested term and may be affected when students enter the program at different times of the year.
- Initial course placement is determined by current district placement measures and/or completion of 100-200 level course and/or program requirements.
- Degree and transfer seeking students may be required to successfully complete a MCCCD First Year Experience Course (FYE) within the first two semesters at a MCCCD College. Courses include FYE101 and FYE103. Course offerings will vary by college. See an academic, program, or faculty advisor for details.
Part-time status is 11 credit hours or less.
|Course Number||Course Name||Requisites||Notes||Area||Credits|
|GBS261||Investments I||Corequisites: Concurrent enrollment in GBS261LL recommended but not required.||3|
|GBS261LL||Securities Industry Essentials (SIE) Exam Prep||Corequisites: Concurrent enrollment in GBS261 recommended but not required. Note: GBS261 is recommended for students who are not already employed in the financial services industry and need more in-depth content related to the SIE exam.||1|
Students must earn a grade of C or better in all courses within the program.
Course Sequence total credits may differ from the program information located on the MCCCD curriculum website due to program and system design.
This certificate is not eligible for Title IV Federal Financial Aid.
View MCCCD’s curriculum website for the Certificate of Completion in Security Industry Essentials: Pre-licensure (https://aztransmac2.asu.edu/cgi-bin/WebObjects/MCCCD.woa/wa/freeForm11?id=174936).
At Maricopa, we strive to provide you with accurate and current information about our degree and certificate offerings. Due to the dynamic nature of the curriculum process, course and program information is subject to change. As a result, the course list associated with this degree or certificate on this site does not represent a contract, nor does it guarantee course availability. If you are interested in pursuing this degree or certificate, we encourage you to meet with an advisor to discuss the requirements at your college for the appropriate catalog year.