Failure in one subject of securities qualification does not affect the performance of another subject, and candidates can continue to apply for failed subjects during the defective examination. Securities examination subjects are divided into basic subjects and professional subjects, the basic subjects are basic knowledge of securities, and the professional subjects include: securities trading, securities issuance and underwriting, securities investment analysis and securities investment funds. The examination time for a single subject is 120 minutes.

The textbooks used in the examination are re-edited every year to add the latest laws, regulations and policies. Basic subjects are compulsory subjects, and professional subjects can be optional.

Those who have passed the examinations of basic subjects and any professional subjects and obtained the qualification for securities practice may apply to China Securities Industry Association for the qualification according to the Measures for the Administration of the Qualification of Securities Practitioners and the Detailed Rules for the Implementation of the Qualification Management of Securities Practitioners (for Trial Implementation).

Those who pass the basic subjects and two or more (including two) professional subjects or hold two or more qualification certificates can obtain a first-class professional level certification certificate; Those who have passed the basic subjects and more than four (including four) professional subject examinations or have already held four qualification certificates can obtain the second-level professional level certification certificate.

Extended data:

Brief introduction of securities qualification:

You can get a certificate of achievement by passing the exam, and the exam results are valid for many years. Those who have passed the examination of basic knowledge of financial market and basic laws and regulations of securities market have obtained the qualification of securities practice.

Practice certificate shall be applied to China Securities Industry Association through affiliated institutions. The association shall, within 30 days from the date of receiving the application for practicing, file with the China Securities Regulatory Commission and issue a practicing certificate. Practice certificates are not classified. A person who has obtained a practice certificate may engage in the securities business operated by the institution on behalf of the employing institution, as appointed by the institution.

If a person who has obtained a practicing certificate has not been employed in a public institution for three consecutive years, his practicing certificate shall be cancelled by the association; Those who practice again shall participate in the vocational training organized by the association and re-apply for the practice certificate.

Baidu Encyclopedia-Securities Qualification

Baidu encyclopedia-securities qualification examination