1, application conditions for securities qualification certificate:

The person who applies for the practice certificate shall obtain the practice qualification, be employed by a securities institution, and meet the relevant character and reputation requirements stipulated in Article 10 of the Measures; To apply for securities investment consulting business, you should also have China nationality, bachelor degree or above and more than two years of securities experience; To apply for securities credit evaluation business, one should have more than two years of securities experience and the relevant provisions of the China Securities Regulatory Commission.

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 practice training organized by the association and re-apply for the practice certificate.

2. Application procedures:

(1) The applicant logs into the association's practice certificate management system, fills in the Practice Certificate Application Form, 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.

3. Certificate management:

You can get a certificate of achievement by passing the exam, and the exam results are valid for many years.

(1) Those who have passed the examinations of basic subjects and any professional subjects are qualified to engage in securities business.

(2) basic subjects and any two professional subjects passed the examination and obtained the first-class qualification certificate of securities business (blue).

(3) Pass the examination of four professional subjects, such as basic subjects, and obtain the second-level qualification certificate of securities business (purple).

4. Application materials

The applicant shall submit the following application materials to the institution:

(1) Practice Certificate Application Form;

(2) a copy of the ID card;

(3) a copy of the academic certificate;

(4) Other materials as stipulated by the Association.

Extended data:

Matters needing attention in securities qualification examination:

1, remember to bring your ID card and printed admission ticket.

2. It is recommended to take photos before the exam, and it is a strange examination room and a strange computer exam. Instead of being stuck in traffic, spend more time reading.

3. You need an exam account and password to log in to the exam window. If you forget, you can look it up on the admission ticket.

4, remember to bring a pen, no paper, the teacher will send it, and use it when preparing to calculate the problem;

5. Pay attention to doing the questions in order when doing the questions. Find the simple ones first, mark the impossible ones and do them later;

6. Pay attention to the examination of questions when doing questions, especially multiple-choice questions;

7. From the examination time to the submission time, the system will submit papers in a unified way, hoping to grasp the speed of personal problem solving;

8, to learn to give up, too difficult to chew the calculation problem, don't let yourself delay too much time on it, not worth it; If you feel that you have time to do it, you can mark it and look back later, so that it will not affect the answers to other questions. The judgment question was originally deducted, but now it is changed to "Correct score, no answer or wrong answer."

9, the exam is a random question, everyone's questions are different, be careful not to look at others, it may be self-defeating;

10, there is time on the upper right of the exam software, so pay attention; The first task is to ensure that all the questions are finished.

Baidu encyclopedia-? Securities qualification certificate