List of securities examinations

Africa

• The Securities Industry Training Institute East Africa was conceptualized in 2008 for this aim for East Africa. It is a joint effort involving Uganda Securities Exchange Ltd, Kenya's Nairobi Securities Exchange Ltd, Tanzania's Dar-es-Salaam Stock Exchange Ltd, and the Central Depository & Settlement Corporation Ltd and Rwanda Stock Exchange, to standardize and administer market education for the East African region.
• Ethiopia Institute of Financial Studies training program
• Ghana Stock Exchange Securities Courses
• Namibia Stock Exchange semi-annual Stock-brokering Exams
• Nigerian Stock Exchange 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 African Institute of Financial Markets offers a wide variety of training options

  Asia Pacific ([ASEAN Plus Three])

Indonesia

• Indonesia Stock Exchange Educational Programs
• *IDX Basic Education Program
• *IDX Intermediate Education Program
• *IDX Advance Education Program
• The Indonesia Capital Market Institute / The Committee For Capital Market Professional Standards
• *Wakil Perantara Pedagang Efek / Broker Dealer Representative
• *Wakil Manajer Investasi / Investment Manager Representative
• *Wakil Penjamin Emisi Efek / Underwriter Representative
• *Ahli Syariah Pasar Modal / Shariah Capital Market Professional

  Singapore

• Singapore College of Insurance

  Malaysia

• 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
• Module 18: Securities and Derivatives Trading
• Module 19: Advisory Services
• Module 19A: Advisory Services - Part A
• Module 19B: Advisory Services - Part B

  China

• ATA

• China Futures Association
• *Futures Practitioner Exam
• *Futures Analyst Exam

  Hong Kong, S.A.R.

• The Hong Kong Securities and Investment Institute
• Joint Programs with HKSI
• *Hong Kong Exchanges and Clearing Limited
• *The Chartered Institute for Securities & Investment
• *The Hong Kong Polytechnic University
• *The City University of Hong Kong

  India

• National Institute of Securities Markets
• National Stock Exchange of India NCMP Certified Market Professional
• Bombay Stock Exchange Training & Certification

  Japan

• Core Knowledge Inc
• Japanese Securities Dealers Association
• FINRA Series 47

  Philippines

• Securities Representative Certification Exam
• Associated Persons Certification Exam
• The Investment Company Representative Certification Program

  Thailand

• Securities Analysts Association

  Cambodia

• 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
• Securities & Investment Institute for Islamic/Syariah Finance
• Thomson Reuters

  The Middle East

• Israeli Securities Authority – Securities Law and Ethics Exam'''
• Capital Market Authority
• *General Securities Qualification Examination
• *Compliance & Anti-money laundering/CTF
• *Broker-Dealer Qualification Certificate
• Various courses for The U.A.E., Kuwait, Bahrain, Saudi Arabia

  North America

Canada

• Canadian Securities Institute – variety of exams for certification.
• – variety of exams for certification.

  United States of America

Registered representative level

• Series 3 – National Commodities Futures Exam*
• Series 5 – Interest Rate Options Exams
• Series 6 – Investment Company and Variable Contracts Exam
• Series 7 – General Securities Representative Exam
• Series 11 – Assistant Representative – Order Processing
• Series 15 – Foreign Currency Options Exam
• Series 17 – United Kingdom Securities Representative Exam
• Series 22 – Direct Participation 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
• Series 63 – Uniform Securities Agent State Law Exam*
• Series 65 – Uniform Registered Investment Adviser Law Exam *
• Series 66 – Uniform Investment Adviser – Combined State Laws Exam
• Series 72 – Government Securities – Limited Representative
• Series 79 – Investment Banking Exam
• Series 68 –
• 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 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
• Series 24 – General Securities Principal Exam
• 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

• CPA-10
• CPA-20
• CEA
• CGA
• AAI

• CNPI
• CNPI-T
• CNPI-P

  Costa Rica

• Securities broker license
• Operator and promoter in currency derivatives

  Europe

• Irish Stock Exchange Xetra Exam
• Chartered Institute for Securities & Investment
• The Finnish Society of Financial Analysts
• Courses & Seminars in English, offered by Oslo Stock Exchange
• Courses & Seminars in Norwegian/Norsk, offered by Oslo Stock Exchange
• SwedSec Licensiering AB, subsidiary of the Swedish Securities Dealers Association
• The European Federation of Financial Analysts Societies