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Securities Industry Essentials (SIE) Exam Preparation Program

Queensborough Community College, in partnership with OneTen, offers a FREE Securities Industry Essentials (SIE) Exam Preparation Program. This 12-week virtual program provides 60+ hours of expert training and comprehensive exam preparation for individuals seeking careers in financial services.

Program Details

Duration: 12 weeks
Format: Virtual instructor-led training

Cost: 100% FREE (fully sponsored by OneTen, even $80 Exam FEE is covered)
Attendance: Mandatory with cameras on

What's Included

  • Comprehensive SIE exam preparation
  • Resume review services
  • Interview preparation and coaching
  • Career support and guidance
  • Employment pathways to the partner institutions

Partner Employers

Program participants gain access to employment opportunities with:

  • Bank of America
  • TD Bank
  • J.P. Morgan Chase

Eligibility Requirements

  • At least 18 years old
  • Legally authorized to work in the United States
  • Proficient in English
  • High school diploma, GED, or equivalent
  • Interest in banking or finance careers
  • Commitment to attend all virtual instructor-led training sessions
  • Self-motivated
  • Customer service or sales experience

About the SIE Exam

The Securities Industry Essentials (SIE) exam is designed by the Financial Industry Regulatory Authority (FINRA), an independent, nonprofit organization overseen by the Securities and Exchange Commission (SEC). FINRA's mission is to protect investors and safeguard the integrity of the US capital markets.

The SIE exam assesses a candidate's basic knowledge of the securities industry, focusing on:

  • Industry terminology
  • Securities products
  • Structure and function of markets
  • Regulatory agencies and their functions
  • Regulated and prohibited practices

Curriculum

The 12-week program covers:

Session 1: Market Structure (Primary, Secondary, Third, and Fourth Markets)
Session 2: Regulation (Regulatory Entities, Agencies, Market Participants)
Session 3: Equity and Debt Securities
Session 4: Investment Returns
Session 5: Packaged Products and Options
Session 6: Variable Contracts and Municipal Fund Securities
Session 7: Alternative Instruments
Session 8: Offerings
Session 9: Economic Factors and Investment Risks
Session 10: Trading, Settlement and Corporate Actions
Session 11: Customer Accounts and Compliance and Prohibited Activities
Session 12: SRO Regulatory Requirements for Associated Persons and Employee Conduct and Reportable Events

Certification

Upon successful completion, participants receive:

  • Certificate of Completion from Queensborough Community College
  • SIE Exam Certification (upon passing the exam)
  • Credly Badge

Ready to register for the SIE Program?

Apply here

Contact Information

Phone: 718-631-6681
Email: cewdgrantsprograms@qcc.cuny.edu
Location: 222-05 56th Avenue, Humanities Building, Bayside, NY 11364

Learn More about FINRA Examinations:
FINRA website

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Grant-Sponsored Courses

$_EscapeTool.html($imageAltText)

Securities Industry Essentials (SIE) Exam Preparation Program

Queensborough Community College, in partnership with OneTen, offers a FREE Securities Industry Essentials (SIE) Exam Preparation Program. This 12-week virtual program provides 60+ hours of expert training and comprehensive exam preparation for individuals seeking careers in financial services.

Program Details

Duration: 12 weeks
Format: Virtual instructor-led training

Cost: 100% FREE (fully sponsored by OneTen, even $80 Exam FEE is covered)
Attendance: Mandatory with cameras on

What's Included

  • Comprehensive SIE exam preparation
  • Resume review services
  • Interview preparation and coaching
  • Career support and guidance
  • Employment pathways to the partner institutions

Partner Employers

Program participants gain access to employment opportunities with:

  • Bank of America
  • TD Bank
  • J.P. Morgan Chase

Eligibility Requirements

  • At least 18 years old
  • Legally authorized to work in the United States
  • Proficient in English
  • High school diploma, GED, or equivalent
  • Interest in banking or finance careers
  • Commitment to attend all virtual instructor-led training sessions
  • Self-motivated
  • Customer service or sales experience

About the SIE Exam

The Securities Industry Essentials (SIE) exam is designed by the Financial Industry Regulatory Authority (FINRA), an independent, nonprofit organization overseen by the Securities and Exchange Commission (SEC). FINRA's mission is to protect investors and safeguard the integrity of the US capital markets.

The SIE exam assesses a candidate's basic knowledge of the securities industry, focusing on:

  • Industry terminology
  • Securities products
  • Structure and function of markets
  • Regulatory agencies and their functions
  • Regulated and prohibited practices

Curriculum

The 12-week program covers:

Session 1: Market Structure (Primary, Secondary, Third, and Fourth Markets)
Session 2: Regulation (Regulatory Entities, Agencies, Market Participants)
Session 3: Equity and Debt Securities
Session 4: Investment Returns
Session 5: Packaged Products and Options
Session 6: Variable Contracts and Municipal Fund Securities
Session 7: Alternative Instruments
Session 8: Offerings
Session 9: Economic Factors and Investment Risks
Session 10: Trading, Settlement and Corporate Actions
Session 11: Customer Accounts and Compliance and Prohibited Activities
Session 12: SRO Regulatory Requirements for Associated Persons and Employee Conduct and Reportable Events

Certification

Upon successful completion, participants receive:

  • Certificate of Completion from Queensborough Community College
  • SIE Exam Certification (upon passing the exam)
  • Credly Badge

Ready to register for the SIE Program?

Apply here

Contact Information

Phone: 718-631-6681
Email: cewdgrantsprograms@qcc.cuny.edu
Location: 222-05 56th Avenue, Humanities Building, Bayside, NY 11364

Learn More about FINRA Examinations:
FINRA website

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