APPLICATION FOR 499A INDEPENDENT STUDY

APPLICATION FOR 499A INDEPENDENT STUDY

Study and sit for the Securities Industry Essentials® (SIE) exam

The SIE exam is an introductory exam for those seeking to work in the Investment industry and is administered by the Financial Industry Regulatory Authority (FINRA). The SIE exam covers types of investment products and their risks, market structure, trading, and regulations. The exam consists of 75 multiple-choice questions within 1 hour and 45 minutes; a passing score is 70/100.

The purpose of this course is to facilitate and support students sitting for the SIE exam. FIN 499A is one credit, and counts towards graduation. The Department of Finance, Financial Planning, and Insurance will fund the course materials (approximately $100) and the cost of the exam ($80). Pre-requisites: B or better in FIN 352 Investment Management and Department Consent.

Your class grade will be based on progress reports and your SIE score. A passing grade on the SIE exam will signal to potential employers that you are ready to work in the securities and advisement industries.

You may also take the SIE exam without taking this course at your own expense: https://www.finra.org/registration-exams-ce/qualification-exams/securities-industry-essentials-exam. Veterans who qualify for the GI Bill may be able to receive reimbursement.