To apply for qualification, the following application materials shall be provided to the China Securities Regulatory Commission:

1. Application form uniformly printed by China Securities Regulatory Commission;

2. Identity card;

3. Academic certificate;

4. Qualification examination transcripts and graduation certificates issued by designated training institutions;

5. A description of past behavior issued by the government agency above the street office where the unit or account is located;

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.

Two. 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. Securities agency issuance qualification;

2. Securities brokerage qualification;

3. Investment consultant qualification;

4. Computer management qualification of securities intermediaries;

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.