Securities Industry Essentials (SIE) Certificate Program

The First Step Toward a Successful Career in Finance.

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If you want to work in the financial services industry, this certificate program is your ideal starting point. Gain an understanding of how capital markets work, regulations and the characteristics and features of financial products such as stocks, bonds, mutual funds and more. Learn how investment objectives (growth, income and preservation of capital) are set and managed. At the same time, this program will prepare you to take the Securities Industry Essentials (SIE) exam. Earning this FIU certificate and passing the SIE exam will demonstrate your industry know-how. In addition, our Securities Industry Essentials program paves the way for you to take top-off exams like Series 7.

Learning Objectives

  • Knowledge of capital markets
  • Overview of the regulatory framework
  • Understand trading, customer accounts and prohibited activities
  • Understand financial products and their risks

Who Will Benefit:

  • Professionals wishing to enter or re-enter the finance field or gain securities industry knowledge
  • Finance students at both the undergraduate and graduate level

Experience Level: Basic

Prerequisites/Advance Preparation: None

Delivery Method: Instructor-Led, Live Online

Upcoming Schedule: October 8 - November 12, 2021 / Fridays, 6 pm to 8:30 pm

Program Fee: The Standard fee is $695 / Early Bird Fee (expires September 8, 2021): $595

For More Information: Please contact program coordinator Dorys Saxlehner at


Please note: This is a review program. Application and exam fees are due separately to the association; please refer to About the Exam/Eligibility. For more information please contact program coordinator Dorys Saxlehner at


20% discount to companies that enroll three or more employees in a program


$695 is the standard program fee
  • This Live Online program is taught by Flavio Carrillo, the director of the Capital Markets Lab at FIU Business, faculty member and active financial industry expert.
Florida International University 
11200 SW 8th Street
Miami, FL 33199

Phone: 305.348.4217

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