Difference between general qualification and special qualification examination:

The securities qualification examination is divided into three categories: general qualification, special qualification examination and senior management qualification test. Candidates who have passed the general qualification examination can take the professional qualification examination and the senior management qualification test. Securities qualification examination and qualification certificate category:

After receiving the complete application materials, the CSRC will examine the applicant's materials and issue qualification certificates to those who meet the requirements. China Securities Regulatory Commission also classified the qualification certificates into the following categories according to the situation of securities practitioners:

1. Qualification for securities agency issuance;

2. Qualification of securities brokerage;

3. Qualification as an investment consultant;

4. Computer management qualification of securities intermediaries;

5. Other categories deemed necessary by the CSRC.

qualification certificate

1. The deputy general manager of a securities intermediary institution shall obtain at least two types of qualification certificates specified by the China Securities Regulatory Commission; The principal and deputy managers of the securities business departments in the securities business institutions shall obtain the qualification certificates corresponding to their majors in the qualification certificate category of China Securities Regulatory Commission;

2. The principal and deputy managers of the securities business department under the securities operation institution shall obtain the qualification certificate of securities brokerage;

3. Professionals engaged in securities agency issuance in securities institutions should obtain the qualification certificate for securities agency issuance;

Professionals engaged in self-operated securities business in securities operating institutions, professionals engaged in providing investment consulting services to clients in securities operating institutions and securities investment consulting institutions, and managers and deputy managers of various business departments in securities investment consulting institutions should obtain investment consulting qualification certificates; The principal and deputy managers of each business department in the securities clearing and registration institution shall obtain one of three certificates of securities brokerage, investment consultant and computer management of securities intermediary;

4. Computer managers of various securities intermediaries should obtain computer management qualification certificates of securities intermediaries.

The China Securities Regulatory Commission will register the personnel who have obtained the qualification certificate and announce it to the public.