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Securities Industry Essentials

The Certificate of Completion (CCL) in Securities Industry Essentials builds the industry knowledge and skills for individuals to prepare for careers in Financial Services. This CCL will introduce students new to or interested in financial services to the fundamental concepts of capital markets, types of products and their risks, trading, customer accounts, prohibited activities, and regulatory agencies and their functions. Students with the requisite experience in the field who complete this CCL can pursue employment in a variety of security industry jobs. This CCL also helps to prepare students for the Financial Industry Regulatory Authority (FINRA) Securities Industry Essentials (SIE). A Certificate of Completion (CCL) and Associate in Applied Science (AAS) in Banking and Finance are also available.


Details iconImportant information you’ll need when applying for admission:
Field of Interest: 
Business, Entrepreneurialism, and Management
Academic Plan Code: 
Total credits required: 
Effective term: 
2021 Fall
Academic Plan: 
Securities Industry Essentials (CER)

Students must earn a grade of C or better in all courses within the program.

This Certificate of Completion (CCL) is intended for current or prospective securities industry professionals who are interested in expanding their knowledge in the area of financial securities to enhance their employment opportunities.

Required courses
Course #Course TitleCredits
GBS120Workplace Communication Skills3
GBS151Introduction to Business3
GBS261Investments I3
GBS261LLSecurities Industry Essentials (SIE) Exam Prep1
MGT126Customer Service Skills and Strategies3
MKT267Principles of Sales (3) OR
MKT271Principles of Marketing (3)3
Recommend MKT267 if career goal in the field of finance is sales.
  • Analyze risks, rewards, and tax benefits associated with various types of investments, alternative investments, and securities to meet client goals. (GBS120, GBS151, GBS261, GBS261LL, MGT126)
  • Demonstrate knowledge of market mechanics including participants, economic factors, and regulations as they apply to capital markets. (GBS151, GBS261, GBS261LL)
  • Identify trading mechanics and corporate actions. (GBS261, GBS261LL)
  • Explain the purpose, registration, distribution, and filing requirements of various types of offerings. (GBS261, GBS261LL)
  • Describe the regulations, rules, and prohibitive actions related to the securities industry. (GBS151, GBS261, GBS261LL)
  • Analyze the impact of monetary policy and regulation on business activity, stability in the securities market, and the economy. (GBS151, GBS261, GBS261LL)
  • Evaluate investments using a variety of sources and analysis factors. (GBS151, GBS261, GBS261LL)
  • Demonstrate professional behavior in accordance with industry standards. (GBS120, GBS151, GBS261, GBS261LL, MGT126, MKT267, MKT271)
  • Integrate ethical responsibility in decision making. (GBS120, GBS151, GBS261, GBS261LL, MKT267, MKT271)
  • Demonstrate service oriented communication skills. (GBS120, GBS261, GBS261LL, MGT126, MKT267, MKT271)
  • Use constructive feedback to improve performance. (GBS120, GBS261, GBS261LL, MGT126, MKT267, MKT271)

At Maricopa, we strive to provide you with accurate and current information about our degree and certificate offerings. Due to the dynamic nature of the curriculum process, course and program information is subject to change. As a result, the course list associated with this degree or certificate on this site does not represent a contract, nor does it guarantee course availability. If you are interested in pursuing this degree or certificate, we encourage you to meet with an advisor to discuss the requirements at your college for the appropriate catalog year.