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Course Description

The Securities Industry Essentials Exam course prepares individuals to take the Securities Industry Essentials Examination. This course covers the recommended outline of topics suggested by FINRA for the Securities Industry Essentials (SIE) exam. Participants work individually on rigorous study materials and meet once a week as a class with the instructor. Students who take this course should be self directed, have the aptitude for this type of content, and consider themselves having a proactive interest in the securities industry by passing the SIE exam.

Course Outline

1. Knowledge of Capital Markets
  • Regulatory Entities, Agencies, and Market Participants
  • Market Structures
  • Economic Factors
  • Offerings
2. Understanding Products and their Risks
  • Products
  • Investment Risks
3. Understanding Trading, customer Accounts, and Prohibited Activities
  • Trading Settlement and Corporate Actions
  • Customer Accounts and Compliance Considerations
  • Prohibited Activities
4. Overview of the Regulatory Framework
  • SRO Regulatory Requirements for Associated Persons
  • Employee Conduct and Reportable Events
5. Final Exam Preparation

Learner Outcomes

At the end of this training, students will be prepared to:

1. Take the introductory level Securities Industry Essentials (SIE) exam. 
2. Apply basic knowledge and understanding of industry terminology, securities products, structure and function of the markets, various regulatory agencies and their functions, FINRA and MSRB rules, SEC rules and regulations, and regulated and prohibited practices. 

Topics include knowledge of capital markets; understanding products and their risks; understanding trading, customer accounts, and prohibited activities; and overview of the regulatory framework.

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Enroll Now - Select a section to enroll in
Section Title
Security Industry Essentials (SIE) Exam Preparation
FIS ID
343484
Section Schedule
Aug 19, 2025 to Nov 20, 2025
Type
Discussion / Lecture
Days
T, Th
Time
6:30PM to 8:30PM
Dates
Aug 19, 2025 to Aug 28, 2025
Type
Discussion / Lecture
Days
Th, T
Time
6:30PM to 8:30PM
Dates
Sep 04, 2025 to Oct 09, 2025
Type
Discussion / Lecture
Days
T, Th
Time
6:30PM to 8:30PM
Dates
Oct 21, 2025 to Nov 20, 2025
Schedule and Location
View Details
Contact Hours
50.0
Location
  • Harris Campus / CPCC
Delivery Options
CLASS  
Course Fee(s)
Reg fee 25-50 hours non-credit $125.00
Additional Fee(s)
CAPS Fee $12.00 Mandatory
TECH Fee $5.00 Mandatory
CEUs
5 CEUs
Drop Request Deadline
Aug 12, 2025
Transfer Request Deadline
Aug 12, 2025
Instructors
  • Sheena Hogue
Section Notes

Ensure that you have completed the initial three steps prior to your first day of class. 

  1. Materials Information (purchase before 1st day of class)
  2. Using Activator to Activate Your Network Account Activating your CPCC email allows you to register for Handshake, which is the next step in advancing your career as a student. Please use your student ID# when creating your Handshake account. 
  3. Accessing your CPCC Email  
  4. Continuing Education Refund Policy 
  5. Wells Fargo Scholarship for Financial Services Careers

Class will not meet:

  1. September 2 (Professional Development Day; No Classes for Students)
  2. October 14 & 16 (Break for Faculty & Students) Central Piedmont is Open
Section Materials
  • (Mandatory) Securities Industry Essentials (SIE) Digital E-Course
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