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Center for Curriculum and Transfer Articulation
Major: 5907
Effective Term: 2022 Fall   

Award: CCL  
Total Credits: 16
CIP Code: 52.0803

Instructional Council: Business/Management (03)
GPA: 2.0
SOC Code: 41-3031.00 Securities, Commodities, and Financial Services Sales Agents


Description: 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.

Learning Outcomes
1. 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)
2. Demonstrate knowledge of market mechanics including participants, economic factors, and regulations as they apply to capital markets. (GBS151, GBS261, GBS261LL)
3. Identify trading mechanics and corporate actions. (GBS261, GBS261LL)
4. Explain the purpose, registration, distribution, and filing requirements of various types of offerings. (GBS261, GBS261LL)
5. Describe the regulations, rules, and prohibitive actions related to the securities industry. (GBS151, GBS261, GBS261LL)
6. Analyze the impact of monetary policy and regulation on business activity, stability in the securities market, and the economy. (GBS151, GBS261, GBS261LL)
7. Evaluate investments using a variety of sources and analysis factors. (GBS151, GBS261, GBS261LL)
8. Demonstrate professional behavior in accordance with industry standards. (GBS120, GBS151, GBS261, GBS261LL, MGT126, MKT267, MKT271)
9. Integrate ethical responsibility in decision making. (GBS120, GBS151, GBS261, GBS261LL, MKT267, MKT271)
10. Demonstrate service oriented communication skills. (GBS120, GBS261, GBS261LL, MGT126, MKT267, MKT271)
11. Use constructive feedback to improve performance. (GBS120, GBS261, GBS261LL, MGT126, MKT267, MKT271)
Program Notes
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
GBS120 Workplace Communication Skills 3
GBS151 Introduction to Business 3
GBS261 Investments I 3
GBS261LL Securities Industry Essentials (SIE) Exam Prep 1

MGT126 Customer Service Skills and Strategies 3

MKT267 Principles of Sales (3) OR
MKT271 Principles of Marketing (3) 3
Recommend MKT267 if career goal in the field of finance is sales.
Credits: 16

+ indicates course has prerequisites and/or corequisites.
++ indicates that any suffixed course may be selected.
MCCCD Governing Board Approval Date: March 22, 2022

All information published is subject to change without notice. Every effort has been made to ensure the accuracy of information presented, but based on the dynamic nature of the curricular process, course and program information is subject to change in order to reflect the most current information available.





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