The following is a list of

securities A security is a tradable financial asset. The term commonly refers to any form of financial instrument, but its legal definition varies by jurisdiction. In some countries and languages people commonly use the term "security" to refer to any for ...

examinations and the organizations that offer them.

Africa

*The

Securities Industry Training Institute A security is a tradable financial asset. The term commonly refers to any form of financial instrument, but its legal definition varies by jurisdiction. In some countries and languages people commonly use the term "security" to refer to any fo ...

East Africa (SITI) was conceptualized in 2008 to standardize and administer market education for the East African region. It is a joint effort involving the region's Central Depository & Settlement Corporation Ltd (CDSC) and the following exchanges: **

Uganda Securities Exchange The Uganda Securities Exchange (USE) is the principal stock exchange of Uganda. It was founded in June 1997. The USE is operated under the jurisdiction of Uganda's Capital Markets Authority, which in turn reports to the Bank of Uganda, Uganda's ...

Ltd (USE) **Kenya's

Nairobi Securities Exchange The Nairobi Securities Exchange (NSE) was established in 1954 as the Nairobi Stock Exchange, based in Nairobi the capital of Kenya. It was a voluntary association of stockbrokers in the European community registered under the Societies Act in ...

Ltd (NSE) **Tanzania's

Dar-es-Salaam Stock Exchange The Dar es Salaam Stock Exchange (DSE) is a stock exchange located on Ohio Street, west of Kivukoni, south east of Dar es Salaam, the commercial capital and largest city in Tanzania. It was incorporated in September 1996 and trading started in A ...

Ltd (DSE) **the

Rwanda Stock Exchange The Rwanda Stock Exchange Limited was incorporated on 7 October 2005 with the objective of carrying out stock market operations. The Stock Exchange was demutualized from the start as it was registered as a company limited by shares. The company ...

. *

Ethiopia Institute of Financial Studies Ethiopia, , om, Itiyoophiyaa, so, Itoobiya, ti, ኢትዮጵያ, Ítiyop'iya, aa, Itiyoppiya officially the Federal Democratic Republic of Ethiopia, is a landlocked country in the Horn of Africa. It shares borders with Eritrea to the Er ...

(EIFS) training program *

Ghana Stock Exchange The Ghana Stock Exchange (GSE) is the principal stock exchange of Ghana. The exchange was incorporated in July 1989 with trading commencing in 1990. It currently lists 42 equities (from 37 companies) and 2 corporate bonds. All types of securiti ...

(GSE) Securities Courses * Namibia Stock Exchange (NSX) semi-annual Stock-brokering Exams *

Nigerian Stock Exchange The Nigerian Stock Exchange (NSE) now Nigerian Exchange Group is a Nigerian stock exchange founded in 1961 in Lagos. As of November 2019, it has a total of 161 listed companies, with 8 domestic companies on the premium board, 144 companies on the ...

(NSE) offers a few certificate programs including: **Module 1: The role and responsibilities of compliance officers in the capital market **Module 2: Compliance risk based monitoring programmes **Module 3: Conduct of business obligations of a broker dealer firm **Module 4: Anti-money laundering and terrorist financing **Module 5: Capital market operations *

South Africa South Africa, officially the Republic of South Africa (RSA), is the southernmost country in Africa. It is bounded to the south by of coastline that stretch along the South Atlantic and Indian Oceans; to the north by the neighbouring countri ...

: **The South African Institute of Financial Markets (SAIFM) offers the specific technical exams required with regard to the "Regulated Positions" of trader, compliance officer, and settlement officer, at the JSE Stock Exchange,

JSE Debt Market JSE may refer to: * JSE Limited or Johannesburg Stock Exchange * Jacksepticeye, Irish YouTuber * Jamaica Stock Exchange * Java Platform, Standard Edition * ''Journal of Scientific Exploration'' * ''Journal of Sports Economics The ''Journal of Spo ...

South African Futures Exchange The South African Futures Exchange (Safex) is the futures exchange subsidiary of JSE Limited, the Johannesburg-based exchange. It consists of two divisions; a financial markets division for trading of equity derivatives and an agricultural marke ...

AltX AltX is an alternative public equity exchange for small and medium-sized companies in South Africa operated in parallel with and wholly owned by the JSE Securities Exchange JSE Limited (previously the JSE Securities Exchange and the Johannesbu ...

, and STRATE. **SAIFM also offers the "Registered Persons" examinations, required for licensing as financial market "practitioners" on the various exchanges; the typical roles here are

investment advisor A financial adviser or financial advisor is a professional who provides financial services to clients based on their financial situation. In many countries, financial advisors must complete specific training and be registered with a regulatory ...

and

fund manager Fund may refer to: * Funding is the act of providing resources, usually in form of money, or other values such as effort or time, for a project, a person, a business, or any other private or public institution ** The process of soliciting and gathe ...

. (Additional to these, it offers various specific training courses and workshops.) **The

South African Institute of Stockbrokers A stockbroker is a regulated broker, broker-dealer, or registered investment adviser (in the United States) who may provide financial advisory and investment management services and execute transactions such as the purchase or sale of stocks ...

administers the six exams required to become a qualified

stockbroker A stockbroker is a regulated broker, broker-dealer, or registered investment adviser (in the United States) who may provide financial advisory and investment management services and execute transactions such as the purchase or sale of stocks an ...

, so as to manage a member firm of the JSE; other requirements are 3 years' work experience, and specified education.

Asia Pacific (
ASEAN Plus Three ASEAN ( , ), officially the Association of Southeast Asian Nations, is a political and economic union of 10 member states in Southeast Asia, which promotes intergovernmental cooperation and facilitates economic, political, security, military ...
)

Indonesia

Indonesia Stock Exchange Indonesia Stock Exchange (IDX) ( id, Bursa Efek Indonesia, formerly nl, Vereniging voor de Effectenhandel) is a stock exchange based in Jakarta, Indonesia. It was previously known as the Jakarta Stock Exchange (JSX) before its name changed in 2 ...

(IDX) Educational Programs **IDX Basic Education Program **IDX Intermediate Education Program **IDX Advance Education Program *

The Indonesia Capital Market Institute ''The'' () is a grammatical article in English, denoting persons or things already mentioned, under discussion, implied or otherwise presumed familiar to listeners, readers, or speakers. It is the definite article in English. ''The'' is the ...

(TICMI) / The Committee For Capital Market Professional Standards (PSPPM) **Wakil Perantara Pedagang Efek (WPPE) / Broker Dealer Representative **Wakil Manajer Investasi (WMI) / Investment Manager Representative **Wakil Penjamin Emisi Efek (WPEE) / Underwriter Representative **Ahli Syariah Pasar Modal (ASPM) / Shariah Capital Market Professional

Singapore

*Singapore College of Insurance (SCI)

Malaysia

The Securities Commission of Malaysia (Suruhanjaya Sekuriti Malaysia) provides an overview of licensing/certification in the country for those who deal in securities, derivatives, financial planning, etc. For actual exam detail, se
SIDC
* Module 6: Stock Market and Securities Law * Module 7: Financial Statement Analysis and Asset Valuation * Module 9: Funds Management Regulation * Module 10: Asset and Funds Management * Module 11: Fundamentals of Compliance * Module 12: Investment Management and Corporate Finance * Module 14: Futures and Options * Module 16: Rules and Regulations of Futures and Options * Module 17: Securities and Derivatives Trading (Rules and Regulations) * Module 18: Securities and Derivatives Trading (Products and Analysis) * Module 19: Advisory Services (Rules and Regulations) * Module 19A: Advisory Services (Rules and Regulations) - Part A * Module 19B: Advisory Services (Rules and Regulations) - Part B

China

*ATA For Futures Practitioners: *China Futures Association **Futures Practitioner Exam **Futures Analyst Exam

Hong Kong, S.A.R.

*The Hong Kong Securities and Investment Institute (HKSI) *Joint Programs with HKSI **Hong Kong Exchanges and Clearing Limited (

HKEx Hong Kong Exchanges and Clearing Limited (HKEX; , also 香港交易所 or 港交所 ) operates a range of equity, commodity, fixed income and currency markets through its wholly owned subsidiaries The Stock Exchange of Hong Kong Limited (SEHK ...

) **The

Chartered Institute for Securities & Investment The Chartered Institute for Securities & Investment (CISI) is a global professional body for those in the financial and investment profession. It offers a range of qualifications and resources for professional development, as well as setting sta ...

(CISI) **The

Hong Kong Polytechnic University The Hong Kong Polytechnic University (PolyU) is a public research university located in Hung Hom, Hong Kong near Hung Hom station. The University is one of the eight government-funded degree-granting tertiary institutions in Hong Kong. Founded ...

**The

City University of Hong Kong City University of Hong Kong (CityU) is a world-class public research university located in Kowloon Tong, Hong Kong. It was founded in 1984 as City Polytechnic of Hong Kong and became a fully accredited university in 1994. Currently, CityU is ...

India

National Institute of Securities Markets National Institute of Securities Markets (NISM) is an Indian public trust and also the national apex body for the regulation and licensing of financial market dealing profession in India along with being the central civil service staff trai ...

National Stock Exchange of India National Stock Exchange of India Limited (NSE) is the leading stock exchange under the ownership of various group of domestic and global financial institutions, public and privately owned entities and individuals. It is located in Mumbai, Mah ...

NCMP Certified Market Professional *

Bombay Stock Exchange BSE Limited, also known as the Bombay Stock Exchange (BSE), is an Indian stock exchange. It is located on Dalal Street in Mumbai. Established in 1875 by cotton merchant Premchand Roychand, a Jain businessman, it is the oldest stock exchange in ...

Training & Certification

Japan

*Core Knowledge Inc *Japanese Securities Dealers Association (JSDA) *FINRA Series 47

Philippines

*Securities Representative Certification Exam (SRCE) *Associated Persons Certification Exam (APCE) *The Investment Company Representative Certification Program (ICRCP)

Thailand

*Securities Analysts Association (SAA)

Cambodia

Financial Institute of Cambodia (FIC)

Global

* ACI The Financial Markets Association, f.k.a. Association Cambiste Internationale, offers a full 'suite of examinations' including Dealing & Operations certificates, among others *

CFA Institute The CFA Institute is a global, not-for-profit professional organization that provides investment professionals with finance education. The institute aims to promote standards in ethics, education, and professional excellence in the global investme ...

Securities & Investment Institute The Chartered Institute for Securities & Investment (CISI) is a global professional body for those in the financial and investment profession. It offers a range of qualifications and resources for professional development, as well as setting sta ...

(SII) for Islamic/Syariah Finance *

Thomson Reuters Thomson Reuters Corporation ( ) is a Canadian multinational media conglomerate. The company was founded in Toronto, Ontario, Canada, where it is headquartered at the Bay Adelaide Centre. Thomson Reuters was created by the Thomson Corpora ...

The Middle East

Israel Securities Authority The Israel Securities Authority (ISA) is the national securities regulator of Israel. Established by law in 1968, the Israel Securities Authority sees its mandate as a way to ensure an efficient capital market based on transparency and fairness. ...

– Securities Law and Ethics Exam *

Capital Market Authority (Saudi Arabia) The Capital Market Authority (CMA; ar, هيئة السوق المالية) is the Saudi governments financial regulatory authority responsible for capital markets in Saudi Arabia. The CMA is a government organization applying full financial, l ...

**General Securities Qualification Examination (CME-1) **Compliance &

Anti-money laundering Money laundering is the process of concealing the origin of money, obtained from illicit activities such as drug trafficking, corruption, embezzlement or gambling, by converting it into a legitimate source. It is a crime in many jurisdicti ...

/CTF (CME2) **Broker-Dealer Qualification Certificate (CME-3) *Various courses for The U.A.E. (Dubai, Abu Dhabi), Kuwait, Bahrain, Saudi Arabia

North America

Canada

Canadian Securities Institute The Canadian Securities Institute (CSI; formerly, CSI Global Education) is a Canadian organization that offers licensing courses, advanced certifications, continuing education and custom training for financial services professionals in Canada an ...

(CSI) – variety of exams for certification.
IFSE Institute (IFSE)
– variety of exams for certification.

United States

The following is a list of the U.S.

Financial Industry Regulatory Authority The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets. FINRA is the successor to the National Associati ...

(FINRA), NASAA, and

National Futures Association The National Futures Association (NFA) is the self-regulatory organization (SRO) for the U.S. derivatives industry, including on-exchange traded futures, retail off-exchange foreign currency (forex) and OTC derivatives ( swaps). NFA is headquar ...

(NFA) financial securities examinations. Most FINRA examinations are divided into two categories:

Registered Representative A registered representative, also called a general securities representative, a stockbroker, or an account executive, is an individual who is licensed to sell securities and has the legal power of an agent in the United States. Registered repr ...

and Registered Principal levels. An asterisk designates that there is no sponsorship requirement in order take the exam.

Registered representative level

* SIE – Securities Industry Essentials Exam* * Series 00 – General Securities Principal Exam (Discontinued) * Series 1 – Registered Representative Exam (Discontinued) * Series 2 – Non-Member General Securities Exam (Discontinued) * Series 3 – National Commodities Futures Exam* * Series 5 – Interest Rate Options Exams * Series 6 –

Investment Company and Variable Contracts Exam In the United States, the investment company products/variable life contracts representative exam, is commonly referred to as the Series 6 exam. Individuals passing this multiple choice exam are licensed to sell a limited set of securities product ...

(Mutual Funds Broker/Variable Annuities) * Series 7 –

General Securities Representative Exam In the United States, the Series 7 exam, also known as the General Securities Representative Exam (GSRE), is a test for entry-level registered representatives, to buy or sell security products such as corporate securities, municipal securities, ...

(Stockbroker) * Series 11 – Assistant Representative – Order Processing * Series 15 – Foreign Currency Options Exam * Series 17 – United Kingdom Securities Representative Exam * Series 22 – Direct Participation (Limited partnerships) Exam * Series 30 – NFA Branch Manager Exam * Series 31 – Futures – Managed Funds Exam* * Series 32 – Limited Futures Exam - Regulations * Series 37 – Canada Securities Representative Exam - With Options * Series 38 – Canada Securities Representative Exam - No Options * Series 42 – Registered Options Representative Exam * Series 44 – NYSE Arca Options Market Maker Exam * Series 47 – Japanese Module of the General Securities Exam * Series 52 – Municipal Securities Representative Exam * Series 55 – Equity Trader – Limited Representative Exam * Series 56 – Proprietary Trader Qualification Exam * Series 57 – Securities Trader Qualification Exam * Series 62 – Corporate Securities – Limited Representative Exam (Discontinued) * Series 63 –

Uniform Securities Agent State Law Exam The Uniform Securities Agent State Law Examination, commonly referred to as the Series 63, is developed by North American Securities Administrators Association (NASAA) and is administered by the Financial Industry Regulatory Authority (FINRA). Th ...

* * Series 65 –

Uniform Investment Adviser Law Exam Uniform Investment Adviser Law Examination, also called the Series 65 exam, is a test taken by individuals in the United States who seek to become licensed investment adviser representatives. The exam covers topics necessary to provide investment a ...

* * Series 66 – Uniform Investment Adviser – Combined State Laws Exam (Combined 63 and 65)* * Series 72 – Government Securities – Limited Representative * Series 79 –

Investment Banking Exam The Limited Representative – Investment Banking Exam, commonly referred to as the Series 79, is an examination administered by the U.S. Financial Industry Regulatory Authority (FINRA) for investment banking professionals. The examination is des ...

* Series 82 – Private Securities Offerings – Limited Representative * Series 86 – Research Analyst – Securities Analysis * Series 87 – Research Analyst – Regulations * Series 99 – Operations Professional

Registered principal level

* Series 4 – Registered Options Principal Exam * Series 8 – General Securities Sales Supervisor Exam – Options Module & General Module (Discontinued) * Series 9 – General Securities Sales Supervisor Exam – Options * Series 10 – General Securities Sales Supervisor Exam – General Module * Series 12 – NYSE Branch Manager * Series 14 – NYSE Compliance Officer * Series 14A – NYSE DMM Compliance Official Examination * Series 16 – NYSE Supervisory Analyst * Series 23 – General Securities Principal (Upgrade from Series 9 and 10) * Series 24 –

General Securities Principal Exam The general securities principal exam, commonly referred to as the Series 24 exam, is administered by the U.S. Financial Industry Regulatory Authority (FINRA) which qualifies a registered individual to supervise or manage branch activities such as ...

* Series 26 – Investment Company and Variable Contracts Products Principal Exam * Series 27 – Financial and Operations Principal Exam * Series 28 – Financial and Operations Principal Introducing Broker Exam * Series 39 – Direct Participation Programs Principal Exam * Series 51 – Municipal Fund Securities Limited Principal * Series 53 – Municipal Securities Principal Exam

Latin America

Brazil

Issued by ANBIMA(Brazilian Association of Financial and Capital Markets): *CPA-10 (Securities Representative - for Retail Investors) *CPA-20 (Securities Representative - for Qualified Investors) *CEA (Retail Account Financial Advisor) *CGA (Professional Portfolio Management) *AAI (Autonomous Investment Agent) Issued by APIMEC (Brazilian Association of Investment and Capital Markets Professionals): *CNPI (Fundamental Securities Research) equired for all fundamental sell-side research analysts*CNPI-T (Technical Securities Research) equired for all technical sell-side research analysts*CNPI-P (Fundamental and Technical Securities Research)

Costa Rica

*Securities broker license *Operator and promoter in currency derivatives

Europe

Irish Stock Exchange Euronext Dublin (formerly The Irish Stock Exchange, ISE; ga, Stocmhalartán na hÉireann) is Ireland's main stock exchange, and has been in existence since 1793. The Euronext Dublin lists debt and fund securities and is used as a European g ...

Xetra Exam *

(CISI) (United Kingdom) *The Finnish Society of Financial Analysts *Courses & Seminars in English, offered by

Oslo Stock Exchange Oslo Stock Exchange ( no, Oslo Børs) (OSE: OSLO) is a stock exchange within the Nordic countries and offers Norway’s only regulated markets for securities trading today. The stock exchange offers a full product range including equities, deriv ...

*Courses & Seminars in

Norwegian Norwegian, Norwayan, or Norsk may refer to: *Something of, from, or related to Norway, a country in northwestern Europe * Norwegians, both a nation and an ethnic group native to Norway * Demographics of Norway *The Norwegian language, including ...

/Norsk, offered by Oslo Stock Exchange *SwedSec Licensiering AB, subsidiary of the

Swedish Securities Dealers Association Swedish or ' may refer to: Anything from or related to Sweden, a country in Northern Europe. Or, specifically: * Swedish language, a North Germanic language spoken primarily in Sweden and Finland ** Swedish alphabet, the official alphabet used by ...