SIE stands for Securities Industry Essentials

• The SIE Exam is the prerequisite required before you can take any other FINRA (Financial Industry Regulatory Authority) exams.
• The SIE Exam assesses knowledge of basic industry terminology and concepts important for an entry-level position in the financial services industry.
• Any type of career where financial securities are sold will require a FINRA license. The type of license varies for specific jobs, but you must pass the SIE Exam before you can take any other licensing exams.
• FINRA is a government-authorized, not-for-profit organization that oversees U.S. brokers/dealers. FINRA’s purpose is to ensure that everyone can participate in the markets with confidence. FINRA ensures that anyone who sells a securities product is qualified and licensed, as demonstrated by passing required exams.
• For more information about the Securities Industry Essentials® (SIE®) Exam, visit FINRA.org.

• The SIE Exam Prep class is offered to motivated students who may be interested in careers in the financial services industry, such as securities salespersons, branch managers, or department supervisors in financial services firms such as banks, insurance companies, wealth management firms, and more.
• Passing the SIE Exam sets you apart from others applying for positions in the financial services industry.
  • When employers see from your resume that you’ve already passed the SIE Exam, they will appreciate that you’re serious about a financial services career. Employers also view your SIE Exam as a significant benefit because they won’t need to spend time and money to prepare you for the exam.
  • Some people don’t prepare for their financial industry exams until after graduating or when they’re well into their careers. With this opportunity, you can gain education you need to jump-start your career.
• Taking the SIE exam might qualify for credit as an elective or co-op credit (must be approved).
  • Check with the Program Chair or Co-op Coordinator for your program to find out if preparing for and taking the SIE Exam can count as an elective or for co-op credit in your degree program.
• Taking the SIE Exam prepares you to take other required FINRA exams, such as the Series 6 or 7.
  • If you’ve already passed the SIE Exam, employers can see your potential to pass other Series Exams. Employers will see that you have the foundational information needed for other qualification exams and have a better chance of passing those exams.

The SIE Exam Prep course prepares you for an introductory-level exam that assesses your knowledge of basic securities terminology, as well as concepts that are fundamental to working in the financial services industry, such as:

• Industry structure and function
• Regulatory agencies
• Basic economics
• Basic product knowledge of stocks, bonds, mutual funds, options, etc.
• Prohibited practices
• Professional conduct

• The SIE Exam Prep course is offered during Summer Semester 2022 as a fully online (via Blackboard), self-paced course.

The course timeline is May 9 to July 11, 2022.

• The time commitment is similar to a 3-credit-hour college course.
• The course has 21 modules, presented through pre-recorded videos and a course workbook, along with practice tests and exams.  Some math is required, but not a lot!
• The course is self-paced but you will need to stay on schedule with periodic tests and check-ins with the course moderator.
• When you complete the course materials you are expected to take the SIE Exam. The cost of the exam is covered by our sponsors.

To qualify for the SIE Exam Prep course you must have 30 completed college level credits with a GPA above 2.5.

• If you qualify, don’t wait to apply! The deadline is April 25, 2022.
• Cincinnati State hopes to be able to provide this opportunity in future semesters, but future funding is not guaranteed.
• Click to Apply Now!

SIE Exam Prep information sessions are offered:

• Wednesday, April 13 at 4:00 PM via Zoom
• Thursday, April 14 at noon (12:00 PM) via Zoom

Current students register via CState CareerLink.

Alumni can register by emailing the Career Center at careercenter@cincinnatistate.edu