On qualification certificate

Securities industry qualification examination is divided into three categories: general qualification examination, special business qualification examination and management qualification examination.

Usually, the qualification examination, that is, the "entry qualification examination", is mainly aimed at those who immediately enter the securities industry. Test in detail whether candidates have the basic professional knowledge required for securities practitioners to practice, and whether they can master the basic securities laws and regulations and professional ethics threshold.

The special business qualification examination, that is, the "professional qualification examination", is mainly aimed at people who have entered the securities industry, and mainly tests whether candidates have the professional knowledge, expertise and professional ethics necessary for professionals engaged in securities business to perform their statutory duties.

The qualification examination for managers, namely "the qualification examination for managers", is mainly aimed at the senior managers of securities institutions, and mainly tests whether candidates can master the management processes and management norms necessary to perform their management duties in securities institutions.

(2) Theme

There are two subjects in the entry qualification examination, the topics are "Basic Laws and Regulations of Securities Market" and "Basic Knowledge of Financial Market".

Each vocational qualification examination has 1 corresponding examination subjects. The examination subjects of the qualification examination for sponsor representatives, securities analysts and securities investment practitioners are determined as investment banks, publishing securities research reports and securities investment practitioners.

Each management qualification examination has a total of 1 subject, which is divided into senior management qualification examination of securities companies, senior management qualification examination of securities rating business and competency examination of compliance managers of securities companies.

(3) Number of questions

The examination time of the entry qualification examination is 120 minutes, and the test questions are multiple-choice questions, and the test questions are 100 questions.

The examination time of each vocational qualification examination subject is 180 minutes, the examination questions are multiple-choice questions, and the number of examination questions is 120 questions.

The examination time of each management qualification examination is 120 minutes, and the test questions are multiple-choice questions, and the test questions are 120 questions.

(4) Qualified specifications

The entry qualification examination pays attention to the necessary basic professional knowledge and basic laws and regulations, focusing on knowledge. Those who pass the entrance qualification examination should basically have the quality of securities business and professional ethics of securities.

The vocational qualification examination focuses on the necessary business processes, business norms and business technology, and focuses on the meeting. Those who pass the vocational qualification examination should be basically competent for this business occupation.

The qualification test of managers focuses on the statutory management process and management norms, and focuses on compliance. Those who pass the qualification test of managers should master the main regulatory rules and regulatory thresholds.

(5) Validity period of qualified scores

Full marks in various qualification examinations100; A score of 60 or more in the exam is considered as qualified.

The validity period of qualified scores should be classified and managed:

1, the qualified score line of the entry qualification examination is temporarily valid.

2. Candidates who have passed the vocational qualification examination shall participate in and complete the corresponding business training organized by China Securities Industry Association every year; If the corresponding business training is not completed according to the threshold, the qualified score is no longer valid.

3. The validity period of the qualified score line of the management qualification examination remains unchanged for 3 years.

(6) Registration requirements

Anyone who has reached the age of 18, has a high school education or above, and has full capacity for civil conduct can sign up for the qualification examination.

Anyone who has passed the entry qualification examination can take the vocational qualification examination and management qualification examination. This is about the securities qualification certificate, who knows better? The answer. 802