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Contact

Suzanne Laudadio
Program Director, Accounting/Finance 
laudadios@durhamtech.edu
919-536-7230, ext.8067

Accounting and Finance (Continuing Education)

Short Term

The Securities Industry Essentials (SIE) Exam Preparation course is designed to help students prepare, practice, and perform on the FINRA® Securities Industry Essentials (SIE) exam for prospective securities industry professionals.

Students will learn concepts fundamental to working in the industry such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices.

After completing the course, students can schedule to take the SIE exam by visiting the FINRA® website.

The SIE credential will help persuade FINRA member firms to sponsor you for the additional FINRA exams you’ll need for a position within a firm. No experience working in the securities industry nor affiliation with a FINRA member firm is required to take the SIE exam.
 
Employment opportunities that require a passing score on the SIE exam include:

  • Financial advisor
  • Private wealth associate
  • Client relationship associate
  • Research associate
  • Trading representative
  • Financial services consultant
  • Equity research associate
  • Relationship banker
  • Investment banking analyst

Due to a generous grant provided by Fidelity, this course is provided free to students.

Register

BAF-3272B SIE Exam Preparation

The SIE Exam Preparation Course is designed to provide all the necessary tools to help students prepare, practice, and perform on the FINRA Securities Industry Essentials (SIE) Exam. The Securities Industry Essentials (SIE) Exam is a FINRA exam for prospective securities industry professionals. Students completing the course will obtain the knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices. After completing the course, students can schedule to take the exam by visiting the FINRA website.
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