List of securities examinations

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

Africa[edit]

Asia Pacific (ASEAN Plus Three)[edit]

Indonesia[edit]

  • Indonesia Stock Exchange (IDX) Educational Programs
    • IDX Basic Education Program
    • IDX Intermediate Education Program
    • IDX Advance Education Program

Singapore[edit]

  • Singapore College of Insurance (SCI)

Malaysia[edit]

The Securities Commission of Malaysia, Suruhanja Sekuriti, provides an overview of licensing/certification in the country for those who deal in securities, derivatives, financial planning, etc.

China[edit]

  • ATA

Hong Kong, S.A.R.[edit]

India[edit]

Japan[edit]

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

Republic of The Philippines (Pilipinas)[edit]

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

Thailand[edit]

  • Securities Analysts Association (SAA)

Global[edit]

The Middle East[edit]

  • Israeli Securities Authority - Securities Law and Ethics Exam]
  • 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[edit]

Canada[edit]

United States of America[edit]

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.

Registered Representative Level[edit]

  • Series 3 - National Exchange Exam*
  • Series 5 - Interest Rate Options Exam
  • Series 6 - Investment Company and Variable Contracts Exam (Mutual Funds/Variable Annuities)
  • Series 7 - General Securities Representative Exam (Stockbroker)
  • Series 11 - Assistant Representative - Order Processing
  • Series 15 - Foreign Currency Options Exam
  • Series 17 - Limited Representative (FSA registration)
  • Series 22 - Direct Participation (Limited partnerships) Exam
  • Series 30 - Futures - Branch Office Manager Exam*
  • Series 31 - Futures - Managed Funds Exam*
  • Series 32 - Futures Exam - United Kingdom Representatives*
  • Series 37 - Canadian Module of the General Securities Exam
  • Series 38 - Canadian Module of the General Securities Exam
  • Series 42 - Registered Options Representative Exam
  • Series 44 - NYSE Arca Options Market Maker Exam
  • Series 47 - Japanese Module of the General Securities Exam
  • Series 52 - Municipal Securities Representative Exam
  • Series 55 - Equity Trader - Limited Representative Exam
  • Series 56 - Proprietary Trader Qualification Exam
  • Series 62 - Corporate Securities - Limited Representative Exam
  • Series 63 - Uniform Securities Agent State Law Exam*
  • Series 65 - Uniform Registered Investment Adviser Law Exam (RIA)*
  • Series 66 - Uniform Investment Adviser - Combined State Laws 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[edit]

  • Series 4 - Registered Options Principal Exam
  • Series 9 - NYSE General Securities Sales Supervisor Exam - Options
  • Series 10 - NYSE General Securities Sales Supervisor Exam - General Module
  • Series 12 - NYSE Branch Manager
  • Series 14 - NYSE Compliance Officer
  • 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 (Mutual Funds) 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

Europe[edit]

Courses & Seminars in Norwegian/Norsk, offered by Oslo Stock Exchange

Additional Reference[edit]

External Links (USA)[edit]