Pilot Prep Course Provides an Edge

THIS PAST YEAR, PROFESSOR CHRISTINE SGARLATA CHUNG OFFERED A PREP CLASS for the new Securities Industry Essentials exam after colleagues from the finance, compliance, and securities regulation worlds said it would be a valuable credential for students looking to break into the field. “It was a way for students to demonstrate interest and baseline knowledge,” said Chung, who supervised about 10 students in the pilot course. “It’s a really hard exam.”

The SIE exam—covering topics ranging from broker sales practices standards to the relationship between bond pricing and yields—went live last fall. Chung’s students were among the first law school students to take it. For one student, passing made the difference in getting a fellowship at the New York State Department of Financial Services. “Having this credential distinguishes you from the pack,” Chung said.


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