Financial Services: Pre-licensure
This award is not eligible for Financial Aid
The Certificate of Completion (CCL) in Financial Services: 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 is a Fast Track Certificate, which can be completed in two semesters or less.
Details
Field of Interest
Business, Entrepreneurialism, and Management
Degree Type
Certificate of Completion (CCL)
Academic Plan
Financial Services: Pre-licensure (CER)
Academic Plan Code
5931N
Total credits required
4
Effective Term
Fall 2024
Notes
This program is not eligible for Title IV Federal Financial Aid.
Students must earn a grade of C or better in all courses within the program.
What You'll Learn
- Evaluate professional behavior and ethical responsibilities in accordance with industry standards. (GBS261, GBS261LL)
- Describe the regulations, rules, and prohibitive actions related to the securities industry. (GBS261, GBS261LL)
- Identify trading mechanics and corporate actions. (GBS261, GBS261LL)
- Explain the purpose, registration, distribution, and filing requirements of various types of offerings. (GBS261, GBS261LL)
- Analyze risks, rewards, and tax benefits associated with various types of investments, alternative investments, and securities to meet client goals. (GBS261, GBS261LL)
- Demonstrate readiness for the FINRA Securities Industry Essentials (SIE) Examination. (GBS261LL)
| Course # | Course Title | Credits |
|---|---|---|
| Credits: | 4 | |
| GBS261 | Investments I | 3 |
| GBS261LL | Securities Industry Essentials (SIE) Exam Prep | 1 |
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.