FIN 280 - Introduction to the Securities Industry

FIN 280 is designed to prepare students to take FINRA's Securities Industry Essentials Exam (SIE). The SIE is a preliminary exam that tests the taker's knowledge about the investment securities world. Passing this exam proves to the world that the successful test-taker has mastered basic knowledge of securities, securities markets and securities regulation. A successful score indicates the individual is a viable candidate for employment in the financial services industries. 

Upon completion of this course, and successfully passing all course assignments, the student will be adequately prepared with the requisite knowledge to sit for the examination, and presumably pass the examination. No guarantee that the student will pass the exam is made hereby or represented by the University or the Malcolm Baldrige School of Business. 

The SIE does not qualify an individual to sell stocks, bonds, or options. Individuals must be sponsored by a FINRA member firm to sit for the actual licensing exam. For more information, please go to the following link: http://www.finra.org/industry/registration-qualification-exams.