166:
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
256:
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.
575:
1064:
1035:
353:
1269:
635:
380:
763:
571:
517:
179:
131:
The South
African Institute of Financial Markets (SAIFM) offers the specific technical exams required with regard to the "Regulated Positions" of
461:, f.k.a. Association Cambiste Internationale, offers a full 'suite of examinations' including Dealing & Operations certificates, among others
645:
1259:
472:
446:
49:
773:
896:
385:
360:
783:
152:
84:
1058:
220:
41:
458:
1274:
1081:
552:
586:
and
Registered Principal levels. An asterisk designates that there is no sponsorship requirement in order take the exam.
579:
366:
69:
1264:
491:
144:
62:
186:, so as to manage a member firm of the JSE; other requirements are 3 years' work experience, and specified education.
175:, as well as those executing transactions. (Additional to these, it offers various training courses and workshops.)
55:
1076:
583:
261:
203:
1205:
1113:
799:
102:
96:
469:
Certified
Futures and Options Analyst (CFOA), an examination focused on derivatives offered by the ICFDT.
526:
391:
76:
1029:
140:
90:
44:
East Africa (SITI) was conceptualized in 2008 to standardize and administer market education for the
1045:
582:(NFA) financial securities examinations. Most FINRA examinations are divided into two categories:
1051:
168:
136:
844:– General Securities Sales Supervisor Exam – Options Module & General Module (Discontinued)
17:
1147:
478:
148:
986:
Issued by APIMEC (Brazilian
Association of Investment and Capital Markets Professionals):
869:
1253:
464:
108:
Module 1: The role and responsibilities of compliance officers in the capital market
172:
132:
125:
1171:
537:
Various courses for The U.A.E. (Dubai, Abu Dhabi), Kuwait, Bahrain, Saudi Arabia
183:
160:
45:
28:
494:
requires six exams and an internship to become a portfolio manager. Exams:
949:
Issued by ANBIMA (Brazilian
Association of Financial and Capital Markets):
223:(TICMI) / The Committee For Capital Market Professional Standards (PSPPM)
1184:
294:
Module 18: Securities and
Derivatives Trading (Products and Analysis)
291:
Module 17: Securities and
Derivatives Trading (Rules and Regulations)
235:
Ahli
Syariah Pasar Modal (ASPM) / Shariah Capital Market Professional
1185:"Series 57 - Securities Trader Representative Exam | FINRA.org"
904:– Investment Company and Variable Contracts Products Principal Exam
756:– Corporate Securities – Limited Representative Exam (Discontinued)
426:
The Investment Company Representative Certification Program (ICRCP)
226:
Wakil Perantara Pedagang Efek (WPPE) / Broker Dealer Representative
229:
Wakil Manajer Investasi (WMI) / Investment Manager Representative
114:
Module 3: Conduct of business obligations of a broker dealer firm
1159:
346:
156:
1130:
303:
Module 19B: Advisory Services (Rules and Regulations) - Part B
300:
Module 19A: Advisory Services (Rules and Regulations) - Part A
889:– General Securities Principal (Upgrade from Series 9 and 10)
232:
Wakil Penjamin Emisi Efek (WPEE) / Underwriter Representative
1100:
916:– Financial and Operations Principal Introducing Broker Exam
856:– General Securities Sales Supervisor Exam – General Module
270:
Module 7: Financial Statement Analysis and Asset Valuation
182:
administers the six exams required to become a qualified
339:
The Hong Kong Securities and Investment Institute (HKSI)
1239:
1234:
1229:
807:– Private Securities Offerings – Limited Representative
288:
Module 16: Rules and Regulations of Futures and Options
117:
Module 4: Anti-money laundering and terrorist financing
1244:
696:– Canada Securities Representative Exam - With Options
282:
Module 12: Investment Management and Corporate Finance
963:(Securities Representative - for Qualified Investors)
558:
111:
Module 2: Compliance risk based monitoring programmes
48:
region. It is a joint effort involving the region's
850:– General Securities Sales Supervisor Exam – Options
702:– Canada Securities Representative Exam - No Options
522:
General Securities Qualification Examination (CME-1)
297:
Module 19: Advisory Services (Rules and Regulations)
31:
examinations and the organizations that offer them.
1065:
European Federation of Financial Analysts Societies
1036:
Chartered Institute for Securities & Investment
616:– Non-Member General Securities Exam (Discontinued)
420:
Securities Representative Certification Exam (SRCE)
354:
Chartered Institute for Securities & Investment
105:(NSE) offers a few certificate programs including:
50:
Central Depository & Settlement Corporation Ltd
1114:"Guide to Examinations and Regulatory Recognition"
957:(Securities Representative - for Retail Investors)
672:– Direct Participation (Limited partnerships) Exam
604:– General Securities Principal Exam (Discontinued
1101:The South African Institute of Financial Markets
792:– Government Securities – Limited Representative
720:– Japanese Module of the General Securities Exam
1006:(Fundamental and Technical Securities Research)
666:– United Kingdom Securities Representative Exam
610:– Registered Representative Exam (Discontinued)
532:Broker-Dealer Qualification Certificate (CME-3)
1044:Courses & Seminars in English, offered by
922:– Direct Participation Programs Principal Exam
636:Investment Company and Variable Contracts Exam
407:Japanese Securities Dealers Association (JSDA)
1206:"Research Analyst Qualification Examinations"
1019:Operator and promoter in currency derivatives
928:– Municipal Fund Securities Limited Principal
738:– Equity Trader – Limited Representative Exam
654:– Assistant Representative – Order Processing
8:
1245:South African Institute of Financial Markets
509:Securities and Financial Instrument Analysis
423:Associated Persons Certification Exam (APCE)
1057:SwedSec Licensiering AB, subsidiary of the
555:(CSI) – variety of exams for certification.
877:– NYSE DMM Compliance Official Examination
732:– Municipal Securities Representative Exam
345:Hong Kong Exchanges and Clearing Limited (
1041:The Finnish Society of Financial Analysts
910:– Financial and Operations Principal Exam
813:– Research Analyst – Securities Analysis
267:Module 6: Stock Market and Securities Law
708:– Registered Options Representative Exam
638:(Mutual Funds Broker/Variable Annuities)
381:National Institute of Securities Markets
1200:
1198:
1172:South African Institute of Stockbrokers
1093:
764:Uniform Securities Agent State Law Exam
744:– Proprietary Trader Qualification Exam
726:– Municipal Advisor Representative Exam
572:Financial Industry Regulatory Authority
518:Capital Market Authority (Saudi Arabia)
180:South African Institute of Stockbrokers
99:(NSX) semi-annual Stock-brokering Exams
85:Ethiopia Institute of Financial Studies
1059:Swedish Securities Dealers Association
1054:/Norsk, offered by Oslo Stock Exchange
750:– Securities Trader Qualification Exam
646:General Securities Representative Exam
598:– Securities Industry Essentials Exam*
221:The Indonesia Capital Market Institute
42:Securities Industry Training Institute
1270:Professional certification in finance
934:– Municipal Securities Principal Exam
714:– NYSE Arca Options Market Maker Exam
561:– variety of exams for certification.
473:Securities & Investment Institute
459:ACI The Financial Markets Association
447:Financial Institute of Cambodia (FIC)
436:Securities Analysts Association (SAA)
279:Module 11: Fundamentals of Compliance
276:Module 10: Asset and Funds Management
273:Module 9: Funds Management Regulation
7:
690:– Limited Futures Exam - Regulations
622:– National Commodities Futures Exam*
570:The following is a list of the U.S.
247:Singapore College of Insurance (SCI)
52:(CDSC) and the following exchanges:
975:(Professional Portfolio Management)
838:– Registered Options Principal Exam
774:Uniform Investment Adviser Law Exam
120:Module 5: Capital market operations
994:(Fundamental Securities Research)
969:(Retail Account Financial Advisor)
388:NCMP Certified Market Professional
212:IDX Intermediate Education Program
25:
897:General Securities Principal Exam
475:(SII) for Islamic/Syariah Finance
1000:(Technical Securities Research)
819:– Research Analyst – Regulations
386:National Stock Exchange of India
361:Hong Kong Polytechnic University
1148:Registered Persons Examinations
784:Uniform Combined State Law Exam
684:– Futures – Managed Funds Exam*
660:– Foreign Currency Options Exam
590:Registered representative level
193:Asia Pacific (ASEAN Plus Three)
18:List of Securities Examinations
1131:"Recognition of Exams – SAIFM"
285:Module 14: Futures and Options
153:South African Futures Exchange
1:
1082:Registered Investment Advisor
981:(Autonomous Investment Agent)
628:– Interest Rate Options Exams
553:Canadian Securities Institute
215:IDX Advance Education Program
1260:United States securities law
580:National Futures Association
394:Training & Certification
367:City University of Hong Kong
260:For actual exam detail, see
70:Dar-es-Salaam Stock Exchange
492:Israel Securities Authority
317:For Futures Practitioners:
209:IDX Basic Education Program
206:(IDX) Educational Programs
63:Nairobi Securities Exchange
27:The following is a list of
1291:
1050:Courses & Seminars in
883:– NYSE Supervisory Analyst
830:Registered principal level
321:China Futures Association
56:Uganda Securities Exchange
1077:Registered Representative
1016:Securities broker license
825:– Operations Professional
678:– NFA Branch Manager Exam
584:Registered Representative
497:Securities Law and Ethics
342:Joint Programs with HKSI
324:Futures Practitioner Exam
204:Indonesia Stock Exchange
93:(GSE) Securities Courses
1038:(CISI) (United Kingdom)
870:NYSE Compliance Officer
800:Investment Banking Exam
103:Nigerian Stock Exchange
87:(EIFS) training program
503:Statistics and Finance
97:Namibia Stock Exchange
862:– NYSE Branch Manager
786:(Combined 63 and 65)*
559:IFSE Institute (IFSE)
527:Anti-money laundering
392:Bombay Stock Exchange
77:Rwanda Stock Exchange
1275:Securities (finance)
1030:Irish Stock Exchange
512:Portfolio management
327:Futures Analyst Exam
91:Ghana Stock Exchange
1046:Oslo Stock Exchange
1265:Standardized tests
404:Core Knowledge Inc
169:investment advisor
145:JSE Stock Exchange
141:settlement officer
137:compliance officer
525:Compliance &
334:Hong Kong, S.A.R.
16:(Redirected from
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126:South Africa
46:East African
26:
1135:saifm.co.za
529:/CTF (CME2)
415:Philippines
184:stockbroker
68:Tanzania's
1254:Categories
1088:References
1032:Xetra Exam
1011:Costa Rica
875:Series 14A
500:Accounting
143:, at the
29:securities
1160:workshops
1052:Norwegian
932:Series 53
926:Series 51
920:Series 39
914:Series 28
908:Series 27
902:Series 26
893:Series 24
887:Series 23
881:Series 16
866:Series 14
860:Series 12
854:Series 10
823:Series 99
817:Series 87
811:Series 86
805:Series 82
796:Series 79
790:Series 72
780:Series 66
770:Series 65
760:Series 63
754:Series 62
748:Series 57
742:Series 56
736:Series 55
730:Series 52
724:Series 50
718:Series 47
712:Series 44
706:Series 42
700:Series 38
694:Series 37
688:Series 32
682:Series 31
676:Series 30
670:Series 22
664:Series 17
658:Series 15
652:Series 11
602:Series 00
574:(FINRA),
506:Economics
242:Singapore
198:Indonesia
72:Ltd (DSE)
65:Ltd (NSE)
58:Ltd (USE)
1071:See also
848:Series 9
842:Series 8
836:Series 4
642:Series 7
632:Series 6
626:Series 5
620:Series 3
614:Series 2
608:Series 1
441:Cambodia
431:Thailand
252:Malaysia
61:Kenya's
1024:Europe
1004:CNPI-P
998:CNPI-T
961:CPA-20
955:CPA-10
944:Brazil
578:, and
547:Canada
453:Global
356:(CISI)
161:STRATE
159:, and
139:, and
133:trader
35:Africa
1240:FINRA
1209:(PDF)
1117:(PDF)
576:NASAA
399:Japan
375:India
308:China
1235:NYSE
1063:The
992:CNPI
490:The
365:The
359:The
352:The
347:HKEx
262:SIDC
178:The
171:and
157:AltX
75:the
40:The
1230:SEC
979:AAI
973:CGA
967:CEA
596:SIE
313:ATA
1256::
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776:*
766:*
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20:)
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