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Securities Industry Essentials

The Certificate of Completion (CCL) in Securities Industry Essentials builds the industry knowledge and skills for individuals to prepare for careers in Financial Services. This CCL will introduce students new to or interested in financial services to the fundamental concepts of capital markets, types of products and their risks, trading, customer accounts, prohibited activities, and regulatory agencies and their functions. Students with the requisite experience in the field who complete this CCL can pursue employment in a variety of security industry jobs. This CCL also helps to prepare students for the Financial Industry Regulatory Authority (FINRA) Securities Industry Essentials (SIE). A Certificate of Completion (CCL) and Associate in Applied Science (AAS) in Banking and Finance are also available.

Details

Details iconImportant information you’ll need when applying for admission:
Field of Interest
Business, Entrepreneurialism, and Management
Type
Certificate
Academic Plan
Securities Industry Essentials (CER)
Academic Plan Code
5907
Total Credits Required
16
Catalog Year
2021-2022
Effective term
Fall 2021
Notes

Students must earn a grade of C or better in all courses within the program.

This Certificate of Completion (CCL) is intended for current or prospective securities industry professionals who are interested in expanding their knowledge in the area of financial securities to enhance their employment opportunities.

What You'll Learn

This pathway map will help you gain the expertise needed to:

  1. Analyze risks, rewards, and tax benefits associated with various types of investments, alternative investments, and securities to meet client goals.
  2. Demonstrate knowledge of market mechanics including participants, economic factors, and regulations as they apply to capital markets.
  3. Identify trading mechanics and corporate actions.
  4. Explain the purpose, registration, distribution, and filing requirements of various types of offerings.
  5. Describe the regulations, rules, and prohibitive actions related to the securities industry.
  6. Analyze the impact of monetary policy and regulation on business activity, stability in the securities market, and the economy.
  7. Evaluate investments using a variety of sources and analysis factors.
  8. Demonstrate professional behavior in accordance with industry standards.
  9. Integrate ethical responsibility in decision making.
  10. Demonstrate service oriented communication skills.
  11. Use constructive feedback to improve performance.
Career Opportunities

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.

* Career and wage information provided by Emsi using data, reports, and forecasts which are generated using government data sources and Emsi’s proprietary analytical processes. Emsi’s data covers multiple classes of workers including QCEW, non-QCEW, and those who are self-employed. Disclaimer
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 AAA/CPD150, AAA/CPD150AC, CPD104, and AAA115/CPD115. Course offerings will vary by college. See an academic, program, or faculty advisor for details.

Full-time Sequence

Full-time status is 12 credits to 18 credits per semester.

Term 1

A sequence of suggested courses that should be taken during Term 1
Course
Number
Course Name Requisites Notes Area Credits
GBS120 Workplace Communication Skills 3
GBS151 Introduction to Business Gateway course 3
GBS261 Investments I Critical course 3
GBS261LL Securities Industry Essentials (SIE) Exam Prep 1
MGT126 Customer Service Skills and Strategies 3
MKT267 or
MKT271
Principles of Sales or Principles of Marketing 3

Part-time Sequence

Part-time status is 11 credit hours or less.

Term 1

A sequence of suggested courses that should be taken during Term 1
Course
Number
Course Name Requisites Notes Area Credits
GBS120 Workplace Communication Skills 3
GBS151 Introduction to Business Gateway course 3

Term 2

A sequence of suggested courses that should be taken during Term 2
Course
Number
Course Name Requisites Notes Area Credits
GBS261 Investments I Critical course 3
GBS261LL Securities Industry Essentials (SIE) Exam Prep 1

Term 3

A sequence of suggested courses that should be taken during Term 3
Course
Number
Course Name Requisites Notes Area Credits
MGT126 Customer Service Skills and Strategies 3
MKT267 or
MKT271
Principles of Sales or Principles of Marketing 3
Course Area Key

Gateway Course = Generally the first major-specific course in a pathway.

Critical Course = A course that is highly predictive of future success in a pathway.

Disclaimer

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.

View MCCCD’s curriculum website for the Certificate of Completion in Securities Industry Essentials (https://aztransmac2.asu.edu/cgi-bin/WebObjects/MCCCD.woa/wa/freeForm?id=167123).


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.