Extended data:
subject of examination
The examination subjects are divided into basic subjects and professional subjects, and the basic subject is "Basic Knowledge of Securities Market".
Professional subjects include: securities trading, securities issuance and underwriting, securities investment analysis, and securities investment funds. June, 2065438+June, 2006, based on the original planned general qualification examination subjects, two special qualification examinations were added: publishing securities research reports and securities investment consulting? [5]。
Basic subjects are compulsory subjects, and professional subjects can be optional.
Examination mode
The national unified examination is closed and the computer examination is adopted. The examination time for a single subject is 120 minutes.
time management
According to the examination plan of China Securities Association in 20 13, in 20 13, four securities qualification examinations (national unified examination) and six securities qualification appointment examinations were held in March, June, September and 1 1 respectively. The first and second securities qualification examinations (nationwide), the first, second, third and fourth securities qualification examinations use the 20 12 version of the examination syllabus and teaching materials, the third and fourth securities qualification examinations (nationwide), and the fifth and sixth securities qualification examinations use the 20 13 version of the examination syllabus and teaching materials.
grade scale
60 multiple-choice questions, each with 0.5 points, totaling 30 points.
There are 50 multiple-choice questions, each with 1 point, with a total of 50 points (since March 20 13, the multiple-choice scores have accounted for 50 points, which undoubtedly increased the difficulty).
There are 40 small questions, each with 0.5 points, totaling 20 points (starting from 2009, no points will be deducted).
The total score of the test paper is 100, and the test time is 120 minutes.
A total of 150 questions, a total of 100 points, 60 points passed.
First, submit the application materials.
To apply for qualification, the following application materials shall be provided to the China Securities Regulatory Commission:
1, an application form uniformly printed by the CSRC;
2. Identity card;
3. Academic certificate;
4. Qualification examination transcripts and graduation certificates issued by designated training institutions;
5, where the unit or account is located, the street office or above government agencies issued the previous behavior description materials;
6. Other materials required by China Securities Regulatory Commission.
All securities intermediaries are responsible for uniformly submitting the application materials of their own applicants, and the application materials that have not worked in securities institutions can be uniformly forwarded by designated training institutions.
Second, the qualification examination and qualification certificate category
After receiving the complete application materials, the CSRC will review the applicant's materials and issue qualification certificates to those who meet the requirements. The China Securities Regulatory Commission also divides the qualification certificates into the following categories according to the situation of securities practitioners:
1, qualification for securities agency issuance;
2. Securities brokerage qualification;
3. Investment consultant qualification;
4, securities intermediary computer management qualification;
5. Other categories deemed necessary by China Securities Regulatory Commission.
The deputy general manager of a securities intermediary institution shall obtain at least two qualification certificates prescribed by the China Securities Regulatory Commission; The deputy manager of the securities business department in the securities business institution shall obtain the qualification certificate corresponding to his major in the qualification certificate category of China Securities Regulatory Commission;
The deputy manager of the securities business department under the securities operation institution shall obtain the qualification certificate of securities brokerage;
Professionals engaged in securities agency issuance business in securities institutions shall obtain the qualification certificate of securities agency issuance;
Professionals engaged in securities proprietary business in securities operating institutions, professionals engaged in providing investment consulting services to clients in securities operating institutions and securities investment consulting institutions, and directors and deputy managers of various business departments in securities investment consulting institutions shall obtain investment consulting qualification certificates; The principal and deputy managers of each business department in the securities settlement registration institution shall obtain one of the three certificates of computer management of securities brokers, investment consultants and securities intermediaries;
Computer managers of various securities intermediaries shall obtain computer management qualification certificates of securities intermediaries.
China Securities Regulatory Commission shall register the personnel who have obtained the qualification certificate and make an announcement to the public.
References:
Baidu encyclopedia-securities qualification examination