First, the examination content:
One * * * Five courses and four specialized courses, 1 Basic knowledge. As long as you pass two courses, you can get the first-class certificate, and all of them pass the second-class certificate. highest
This is the second floor. This certificate is valid for a long time.
Second, the examination subjects
The examination subjects are divided into basic subjects and professional subjects. The basic subject is the basic knowledge of securities, and the professional subjects include: securities trading and securities issuance.
Banking and underwriting, securities investment analysis, securities investment fund. The examination time for a single subject is 120 minutes.
Third, the registration method
Registration takes the form of online registration. Candidates log on to the website of China Securities Industry Association and register as required.
The registration fee is RMB 70 yuan per subject. Please read the registration requirements on the Association's website carefully to understand the payment method, receipt and printing of admission ticket.
Got it.
Fourth, the examination method
The national unified examination is closed and the computer examination is adopted.
Five, the relevant rules of the examination
Chapter I General Principles
Article 1 These Detailed Rules are formulated in accordance with the Measures for the Administration of the Qualifications of Securities Practitioners (hereinafter referred to as the Measures).
Article 2 The institution mentioned in these Detailed Rules refers to the institution engaged in securities business as stipulated in Article 3 of the Measures; Professionals and securities practitioners refer to the personnel and businesses specified in Article 4 of the Measures.
Article 3 The China Securities Industry Association (hereinafter referred to as the Association) shall be responsible for obtaining the securities industry qualification and managing the practice certificate in accordance with the provisions of these Detailed Rules.
Chapter II Qualification and Practice Certificate
Article 4 Professionals engaged in securities business in institutions shall obtain professional qualifications and certificates in accordance with the provisions of these Detailed Rules.
Article 5 Persons who meet the requirements of Article 7 of the Measures shall pass the qualification examinations for basic subjects and one professional subject organized by the Association to obtain employment qualifications.
Personnel who are otherwise provided by the China Securities Regulatory Commission shall obtain the post qualifications in accordance with the relevant provisions of the China Securities Regulatory Commission.
Article 6 A person who has obtained the qualification for practicing may apply to the Association for a practicing certificate through his institution if he meets the conditions stipulated in Article 10 of the Measures.
An applicant who applies for securities investment consulting business shall meet the conditions stipulated in Article 158 of the Securities Law and Article 13 of the Interim Measures for the Administration of Securities and Futures Investment Consulting.
To apply for securities credit evaluation business, it shall meet the requirements of Article 158 of the Securities Law and the relevant provisions of the China Securities Regulatory Commission.
Article 7 The application for practicing certificate shall be made through the practicing certificate management system of the Association.
Article 8 An applicant shall submit the following application materials to his institution:
(1) Application form for practicing certificate;
(2) a copy of the ID card;
(three) a copy of the academic certificate;
(4) Other materials as stipulated by the Association.
Article 9 The procedures for applying for a practicing certificate are as follows:
(1) The applicant logs into the association's practice certificate management system, fills in the Application Form for Practice Certificate, and submits it to the institution together with the printed written application form and other application materials specified in Article 8;
(two) the qualification administrator of the institution shall make a preliminary confirmation of the Application Form for Practice Certificate, and the written application form shall be kept by the institution for future reference, and the electronic application form shall be submitted to the Association;
(3) The Association shall examine the application form for practicing certificate submitted by the institution, and may require the institution to submit a written application form and relevant certification materials when necessary. The association shall complete the examination within 30 days after receiving the complete application materials.
Article 10 For qualified applicants, the Association shall file with the relevant departments of China Securities Regulatory Commission through the practice certificate management system, issue the practice certificate, and make an announcement on the Association's Internet site. The practicing certificate shall be collected from the association by the institution.
The association shall notify the institution in writing and explain the reasons for refusing to issue the practicing certificate.
Chapter III Management of Practice Certificates
Article 11 An institution shall designate a qualification administrator to be responsible for the qualification management of employees. The qualification administrator shall file with the Association and perform the following duties on behalf of the organization:
(a) using the association's practice certificate management system to manage the system users of this institution;
(2) Organizing and implementing the application for practicing certificate of this institution;
(three) responsible for the preliminary examination of the application materials of the applicant for the institution's practice certificate;
(four) according to the deployment of the association to organize and implement the annual inspection work of this institution;
(five) to assist the inspection and investigation of the association;
(six) responsible for the archives work of employees in public institutions;
(seven) to provide relevant advice to the staff of this institution;
(eight) to maintain daily contact with the association.
The qualification manager of institution replacement shall file with the Association. The qualification administrator shall not entrust others to perform their duties without authorization.
Article 12 Where employees are rewarded, punished or punished by their institutions, self-regulatory organizations or regulatory authorities, or leave their institutions, their institutions shall file the above information with the Association before the 5th of each month.
Article 13 Employees who change from other securities business posts to those engaged in securities investment consulting and securities credit evaluation shall apply for a new practice certificate in accordance with the provisions of these Detailed Rules.
Article 14 If an employee fails to engage in securities business in an institution for three consecutive years, is subject to criminal punishment, is banned from the market, is expelled from the institution for violating the law and discipline, or violates professional ethics, his practice certificate shall be cancelled by the association.
Fifteenth institutions should properly keep the applicant's written application form and related materials.
Article 16 Employees shall regularly participate in the follow-up vocational training organized by the association or its recognized units.
Seventeenth employees who are subject to administrative punishment shall participate in compulsory training.
Article 18 An association shall establish a database for the qualification management of employees, and publish the qualified employees through the Internet website.
Article 19 An association shall establish a database of employees' credit information and implement hierarchical management for institutions to inquire or provide relevant information at the request of the securities regulatory authorities.
Article 20 Before 10 every month, the Association will announce the persons who obtained the practicing certificate last month, the annual inspection of the practicing certificate and the persons whose practicing certificate has been cancelled, revoked or suspended through its Internet site.
Chapter IV Annual Inspection
Article 21 The Association shall inspect the employees every two years from the date of obtaining the practicing certificate.
Twenty-second annual inspection procedures are:
(1) The applicant logs into the association's practice certificate management system, fills in the annual inspection application form, and submits it to the institution together with the printed written application form and the original practice certificate;
(two) the qualification administrator of the organization shall make a preliminary confirmation of the application form for the annual inspection of the organization, and the written application form shall be kept by the organization for future reference, and the electronic application form shall be submitted to the association;
(3) The Association shall review the annual inspection application form submitted by the institution, and may require the institution to submit a written application form and relevant certification materials when necessary, and the Association shall put forward audit opinions on whether it has passed the annual inspection within 15 days after receiving the complete application materials;
(4) The Association informs the organization of the annual inspection results through the practice certificate management system, and makes an announcement on the Association's Internet site;
(five) the agent qualification administrator shall handle the annual inspection and filing of the practice certificate.
Twenty-third any of the following circumstances, shall not pass the annual inspection:
(a) the practice certificate application materials or annual inspection materials are fraudulent;
(2) Failing to complete the follow-up vocational training as required;
(3) It no longer meets the requirements for obtaining a practice certificate;
(4) Failing to participate in the annual inspection as required;
(5) Other circumstances stipulated by the Association.
Twenty-fourth because of article twenty-third (a) and (three) did not pass the annual inspection, by the association to cancel their practice certificate.
Twenty-fifth because of the twenty-third (two), (four) and (five) did not pass the annual inspection of personnel, by the association handed over to the China Securities Regulatory Commission to suspend their practice.
Chapter V Inspection and Investigation
Article 26 The Association shall inspect the implementation of the Measures and these Detailed Rules by institutions, and may investigate the violations of the Measures and these Detailed Rules by institutions and employees according to complaints and reports.
Twenty-seventh associations may entrust relevant units to inspect and investigate local institutions and employees.
Article 28 The contents of the association's inspection of institutions include:
(a) whether to employ persons who have not obtained the practicing certificate or whose practicing certificate has been cancelled, revoked or suspended to engage in securities business;
(2) Whether the prescribed filing obligations have been fulfilled in time;
(three) whether there is favoritism in the application process of practicing certificate;
(four) whether the written application materials of its employees are properly kept.
Twenty-ninth inspection and investigation methods:
(a) talk with the relevant person in charge;
(two) access to the practice certificate application form and related materials, annual inspection application form and related materials;
(3) Obtaining employment contracts for personnel;
(four) access to employees' files;
(5) Invite employees to talk;
(6) Other legal and effective ways.
Thirtieth methods of investigating employees:
(a) interview the relevant person in charge of the institution to understand the relevant situation;
(two) access to the applicant's practice certificate application form and related materials, annual inspection application form and related materials;
(3) consulting the employment contract of the respondent;
(4) To consult the files of the person under investigation;
(5) Talking with the person under investigation;
(6) Other legal and effective ways.
Thirty-first inspection and investigation personnel shall produce valid certificates when conducting on-site inspection and investigation.
Thirty-second institutions and employees shall cooperate with the inspection and investigation conducted by the association or the units entrusted by the association.
Chapter VI Punishment Rules
Article 33 If an applicant for a practice certificate provides false materials, he shall not be issued a practice certificate, and his application for a practice certificate shall not be accepted within three years; Those who have obtained a practice certificate shall cancel their practice certificate and will not accept their application for practice certificate within three years.
Thirty-fourth employees do not cooperate with the association or its entrusted units for inspection and investigation, and the association shall order them to make corrections; Refuses to correct, the association depending on the seriousness of the case, give corresponding punishment. If the circumstances are serious, it shall be handed over to China Securities Regulatory Commission for punishment.
Article 35 If an institution practises fraud, employs people who have not obtained a practicing certificate or whose practicing certificate has been cancelled, revoked or suspended to engage in securities business, fails to fulfill the prescribed filing obligations, and does not cooperate with the inspection and investigation organized by the association or its entrusted units, the association shall order it to make corrections; If the Association refuses to make corrections, it shall be given the following sanctions according to the seriousness of the case: (1) informed criticism; (2) informed criticism; (3) Suspension of some members' rights; (4) Suspension of membership; (5) Cancellation of membership; At the same time, the person directly responsible shall be given the following sanctions: (1) informed criticism; (2) informed criticism. If the circumstances are serious, it shall be handed over to China Securities Regulatory Commission for punishment.
Chapter VII Supplementary Provisions
Article 36 The Association shall certify the professional level of persons who have obtained professional qualifications, and those who have passed the basic subjects and two or more professional subjects shall obtain the first-class professional level certification. Through the basic subjects and four (including four) or more professional subjects, the second-level professional level certification certificate was obtained.
Thirty-seventh practice certificate application and annual inspection and other related expenses shall be paid by the institution to the Association.
Article 38 The Association shall carry out coding management on qualifications and practice certificates.
Thirty-ninth qualification examination methods, training methods and grade examination methods shall be formulated separately by the association.
Article 40 With the approval of China Securities Regulatory Commission, these Detailed Rules shall be implemented on July 6, 2003.