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
  • 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[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.

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[edit]

  • ATA

For Futures Practitioners:

  • China Futures Association-
 - Futures Practitioner Exam
 - Futures Analyst Exam

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

India[edit]

Japan[edit]

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

Philippines[edit]

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

Thailand[edit]

  • Securities Analysts Association (SAA)

Cambodia[edit]

Financial Institute of Cambodia (FIC)

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. An asterisk designates that there is no sponsorship requirement in order take the exam.


Registered representative level[edit]

  • Series 3 – National Commodities Futures Exam*
  • Series 5 – Interest Rate Options Exams
  • Series 6Investment Company and Variable Contracts Exam (Mutual Funds/Variable Annuities)
  • Series 7General 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 57 – Securities Trader Qualification Exam[1]
  • Series 62 – Corporate Securities – Limited Representative Exam
  • Series 63Uniform Securities Agent State Law Exam*
  • Series 65Uniform 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 79Investment 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 – 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 24General 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[edit]

Brazil[edit]

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 Securites 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[edit]

  • Securities broker license
  • Operator and promotor in currency derivatives

Europe[edit]

See also[edit]

References[edit]

External links[edit]