MCCCD Program Description

Major: 5931N Catalog Year: 2024-2025 Effective Term: 2024 Fall Last Admit Term: 9999 Award: CCL Total Credits: 4 CIP Code: 52.0803	Primary College: Initiating College: Phoenix College Program Availability: Not Found Program Availability: Shared Program Availability: CG, GC, GW, PC, SC Field of Interest: Business, Entrepreneurialism and Management Instructional Council: Business/Management (03) GPA: 2.00
SOC Code: Upon completion of this certificate, students may pursue a career as: 41-3031.00 Securities, Commodities, and Financial Services Sales Agents

Description: The Certificate of Completion (CCL) in Financial Services: Pre-licensure is designed to prepare students for the Financial Industry Regulatory Authority (FINRA) Securities Industry Essentials (SIE) Examination required for entry-level positions in the security industry.

Learning Outcomes
1. Evaluate professional behavior and ethical responsibilities in accordance with industry standards. (GBS261, GBS261LL) 2. Describe the regulations, rules, and prohibitive actions related to the securities industry. (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. Analyze risks, rewards, and tax benefits associated with various types of investments, alternative investments, and securities to meet client goals. (GBS261, GBS261LL) 6. Demonstrate readiness for the FINRA Securities Industry Essentials (SIE) Examination. (GBS261LL)

Program Notes
This program is not eligible for Title IV Federal Financial Aid. Students must earn a grade of C or better in all courses within the program.

Required Courses

GBS261 Investments I 3
GBS261LL Securities Industry Essentials (SIE) Exam Prep 1

Credits: 4

Restricted Electives
	Credits:

General Electives
	Credits:

+ indicates course has prerequisites and/or corequisites.
++ indicates that any suffixed course may be selected.

MCCCD Governing Board Approval Date: June 27, 2023

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.