• Source: List of securities examinations

The following is a list of securities examinations and the organizations that offer them.




Africa


The Securities Industry Training Institute East Africa (SITI) was conceptualized in 2008 to standardize and administer market education for the East African region. It is a joint effort involving the region's Central Depository & Settlement Corporation Ltd (CDSC) and the following exchanges:
Uganda Securities Exchange Ltd (USE)
Kenya's Nairobi Securities Exchange Ltd (NSE)
Tanzania's Dar-es-Salaam Stock Exchange Ltd (DSE)
the Rwanda Stock Exchange.
Ethiopia Institute of Financial Studies (EIFS) training program
Ghana Stock Exchange (GSE) Securities Courses
Namibia Stock Exchange (NSX) semi-annual Stock-brokering Exams
Nigerian Stock Exchange (NSE) offers a few certificate programs including:
Module 1: The role and responsibilities of compliance officers in the capital market
Module 2: Compliance risk based monitoring programmes
Module 3: Conduct of business obligations of a broker dealer firm
Module 4: Anti-money laundering and terrorist financing
Module 5: Capital market operations
South Africa:
The South African Institute of Financial Markets (SAIFM) offers the specific technical exams required with regard to the "Regulated Positions" of trader, compliance officer, and settlement officer, at the JSE Stock Exchange, JSE Debt Market, South African Futures Exchange, AltX, and STRATE.
SAIFM also offers the "Registered Persons" examinations, required for licensing as financial market "practitioners" on the various exchanges, selecting up to 8 according to the requirements of the exchange for the specific function; the typical roles here are investment advisor and fund manager, as well as those executing transactions. (Additional to these, it offers various training courses and workshops.)
The South African Institute of Stockbrokers administers the six exams required to become a qualified stockbroker, so as to manage a member firm of the JSE; other requirements are 3 years' work experience, and specified education.




Asia Pacific (ASEAN Plus Three)






= Indonesia

=
Indonesia Stock Exchange (IDX) Educational Programs
IDX Basic Education Program
IDX Intermediate Education Program
IDX Advance Education Program
The Indonesia Capital Market Institute (TICMI) / The Committee For Capital Market Professional Standards (PSPPM)
Wakil Perantara Pedagang Efek (WPPE) / Broker Dealer Representative
Wakil Manajer Investasi (WMI) / Investment Manager Representative
Wakil Penjamin Emisi Efek (WPEE) / Underwriter Representative
Ahli Syariah Pasar Modal (ASPM) / Shariah Capital Market Professional




= Singapore

=
Singapore College of Insurance (SCI)




= Malaysia

=
The Securities Commission of Malaysia (Suruhanjaya Sekuriti Malaysia) provides an overview of licensing/certification in the country for those who deal in securities, derivatives, financial planning, etc.
For actual exam detail, see SIDC

Module 6: Stock Market and Securities Law
Module 7: Financial Statement Analysis and Asset Valuation
Module 9: Funds Management Regulation
Module 10: Asset and Funds Management
Module 11: Fundamentals of Compliance
Module 12: Investment Management and Corporate Finance
Module 14: Futures and Options
Module 16: Rules and Regulations of Futures and Options
Module 17: Securities and Derivatives Trading (Rules and Regulations)
Module 18: Securities and Derivatives Trading (Products and Analysis)
Module 19: Advisory Services (Rules and Regulations)
Module 19A: Advisory Services (Rules and Regulations) - Part A
Module 19B: Advisory Services (Rules and Regulations) - Part B




= China

=
ATA
For Futures Practitioners:

China Futures Association
Futures Practitioner Exam
Futures Analyst Exam




= Hong Kong, S.A.R.

=
The Hong Kong Securities and Investment Institute (HKSI)
Joint Programs with HKSI
Hong Kong Exchanges and Clearing Limited (HKEx)
The Chartered Institute for Securities & Investment (CISI)
The Hong Kong Polytechnic University
The City University of Hong Kong




= India

=
National Institute of Securities Markets
National Stock Exchange of India NCMP Certified Market Professional
Bombay Stock Exchange Training & Certification




= Japan

=
Core Knowledge Inc
Japanese Securities Dealers Association (JSDA)
FINRA Series 47




= Philippines

=
Securities Representative Certification Exam (SRCE)
Associated Persons Certification Exam (APCE)
The Investment Company Representative Certification Program (ICRCP)




= Thailand

=
Securities Analysts Association (SAA)




= Cambodia

=
Financial Institute of Cambodia (FIC)




Global


ACI The Financial Markets Association, f.k.a. Association Cambiste Internationale, offers a full 'suite of examinations' including Dealing & Operations certificates, among others
CFA Institute
Certified Futures and Options Analyst (CFOA), an examination focused on derivatives offered by the ICFDT.
Securities & Investment Institute (SII) for Islamic/Syariah Finance
Thomson Reuters




The Middle East


The Israel Securities Authority requires six exams and an internship to become a portfolio manager. Exams:
Securities Law and Ethics
Accounting
Statistics and Finance
Economics
Securities and Financial Instrument Analysis
Portfolio management
Capital Market Authority (Saudi Arabia)
General Securities Qualification Examination (CME-1)
Compliance & Anti-money laundering/CTF (CME2)
Broker-Dealer Qualification Certificate (CME-3)
Various courses for The U.A.E. (Dubai, Abu Dhabi), Kuwait, Bahrain, Saudi Arabia




North America






= Canada

=
Canadian Securities Institute (CSI) – variety of exams for certification.
IFSE Institute (IFSE) – variety of exams for certification.




= United States

=
The following is a list of the U.S. Financial Industry Regulatory Authority (FINRA), NASAA, and National Futures Association (NFA) financial securities examinations. Most FINRA examinations are divided into two categories: Registered Representative and Registered Principal levels. An asterisk designates that there is no sponsorship requirement in order take the exam.



Registered representative level

SIE – Securities Industry Essentials Exam*
Series 00 – General Securities Principal Exam (Discontinued
Series 1 – Registered Representative Exam (Discontinued)
Series 2 – Non-Member General Securities Exam (Discontinued)
Series 3 – National Commodities Futures Exam*
Series 5 – Interest Rate Options Exams
Series 6 – Investment Company and Variable Contracts Exam (Mutual Funds Broker/Variable Annuities)
Series 7 – General Securities Representative Exam (Stockbroker)
Series 11 – Assistant Representative – Order Processing
Series 15 – Foreign Currency Options Exam
Series 17 – United Kingdom Securities Representative Exam
Series 22 – Direct Participation (Limited partnerships) Exam
Series 30 – NFA Branch Manager Exam
Series 31 – Futures – Managed Funds Exam*
Series 32 – Limited Futures Exam - Regulations
Series 37 – Canada Securities Representative Exam - With Options
Series 38 – Canada Securities Representative Exam - No Options
Series 42 – Registered Options Representative Exam
Series 44 – NYSE Arca Options Market Maker Exam
Series 47 – Japanese Module of the General Securities Exam
Series 50 – Municipal Advisor Representative Exam
Series 52 – Municipal Securities Representative Exam
Series 55 – Equity Trader – Limited Representative Exam
Series 56 – Proprietary Trader Qualification Exam
Series 57 – Securities Trader Qualification Exam
Series 62 – Corporate Securities – Limited Representative Exam (Discontinued)
Series 63 – Uniform Securities Agent State Law Exam*
Series 65 – Uniform Investment Adviser Law Exam*
Series 66 – Uniform Combined State Law Exam (Combined 63 and 65)*
Series 72 – Government Securities – Limited Representative
Series 79 – Investment Banking Exam
Series 82 – Private Securities Offerings – Limited Representative
Series 86 – Research Analyst – Securities Analysis
Series 87 – Research Analyst – Regulations
Series 99 – Operations Professional



Registered principal level

Series 4 – Registered Options Principal Exam
Series 8 – General Securities Sales Supervisor Exam – Options Module & General Module (Discontinued)
Series 9 – General Securities Sales Supervisor Exam – Options
Series 10 – General Securities Sales Supervisor Exam – General Module
Series 12 – NYSE Branch Manager
Series 14 – NYSE Compliance Officer
Series 14A – NYSE DMM Compliance Official Examination
Series 16 – NYSE Supervisory Analyst
Series 23 – General Securities Principal (Upgrade from Series 9 and 10)
Series 24 – General Securities Principal Exam
Series 26 – Investment Company and Variable Contracts Products Principal Exam
Series 27 – Financial and Operations Principal Exam
Series 28 – Financial and Operations Principal Introducing Broker Exam
Series 39 – Direct Participation Programs Principal Exam
Series 51 – Municipal Fund Securities Limited Principal
Series 53 – Municipal Securities Principal Exam




Latin America






= Brazil

=
Issued by ANBIMA (Brazilian Association of Financial and Capital Markets):

CPA-10 (Securities Representative - for Retail Investors)
CPA-20 (Securities Representative - for Qualified Investors)
CEA (Retail Account Financial Advisor)
CGA (Professional Portfolio Management)
AAI (Autonomous Investment Agent)
Issued by APIMEC (Brazilian Association of Investment and Capital Markets Professionals):

CNPI (Fundamental Securities Research) [Required for all fundamental sell-side research analysts]
CNPI-T (Technical Securities Research) [Required for all technical sell-side research analysts]
CNPI-P (Fundamental and Technical Securities Research)




= Costa Rica

=
Securities broker license
Operator and promoter in currency derivatives




Europe


Irish Stock Exchange Xetra Exam
Chartered Institute for Securities & Investment (CISI) (United Kingdom)
The Finnish Society of Financial Analysts
Courses & Seminars in English, offered by Oslo Stock Exchange
Courses & Seminars in Norwegian/Norsk, offered by Oslo Stock Exchange
SwedSec Licensiering AB, subsidiary of the Swedish Securities Dealers Association
The European Federation of Financial Analysts Societies




See also


Registered Representative
Registered Investment Advisor




References






External links


SEC
NYSE
FINRA
South African Institute of Financial Markets

Kata Kunci Pencarian:

• Mumbai
• List of securities examinations
• Series 7 exam
• Financial Industry Regulatory Authority
• Registered representative (securities)
• General Securities Principal Exam
• Uniform Investment Adviser Law Exam
• Registered investment adviser
• Uniform Securities Agent State Law Exam
• Financial analyst
• Certified Financial Planner