The names are "basic laws and regulations of securities market" and "basic knowledge of financial market" respectively. There are no restrictions on exam subjects. Candidates can apply for two subjects at a time or one subject at a time.
Basic laws and regulations of the securities market;
The first part of this course consists of four chapters, involving securities market laws and regulations system, futures trading management regulations, securities company supervision and management regulations, corporate governance, internal control and compliance management, investor suitability management, securities investment consulting, financial consultants related to securities trading and securities investment activities, securities company credit business, typical illegal behaviors in the securities market and legal responsibilities.
Basic knowledge of financial markets:
This course consists of eight chapters, covering financial market overview, global financial market, China financial system, China multi-level capital market, securities issuers, securities investors, securities intermediaries, self-regulatory organizations, securities regulatory agencies, stock issuance, trading and valuation.
Issuance, trading and valuation of bonds, overview of securities investment funds, operation and market participants of securities investment funds, fund raising, subscription, redemption and trading, fund valuation, cost and profit distribution, non-public issuance of securities investment funds, financial derivatives, etc.
registration requirement
Anyone who has reached the age of 18 since July 20 15, 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.
(a) At least 65-438+08 years old;
(2) Having a nationally recognized diploma equivalent to a high school education or above;
(3) Having full capacity for civil conduct.