First, qualifications:
Since 2003, the qualification examination for securities practitioners has been open to the public and foreigners. All people at home and abroad who have reached the age of 18, have a high school education or above and have full capacity for civil conduct can sign up for the qualification examination for securities practitioners.
Second, the examination content and certificate:
The qualification examination consists of four professional subjects, namely securities trading, securities issuance and underwriting, securities investment analysis and securities investment fund, and one basic securities subject. Candidates can obtain this qualification by choosing a professional subject and passing the basic subject examination. Since 2004, all of them are computer tests, and 60 points in each subject are qualified lines.
Pass the basic subjects and more than two (including two) professional subject examinations, and obtain the first-class professional level certification certificate; Pass the examination of basic subjects and more than four (including four) professional subjects, and obtain the second-level professional level certification certificate.
There is no limit to the number of exam subjects that can be registered, and you can choose to register all of them.
3. Registration and examination address:
Through online registration, candidates can choose to take the exam in 35 cities across the country; Usually take the exam once a year. These 35 cities are Beijing, Tianjin, Shijiazhuang, Taiyuan, Shenyang, Changchun, Harbin, Shanghai, Nanjing, Hangzhou, Hefei, Fuzhou, Nanchang, Jinan, Zhengzhou, Wuhan, Changsha, Guangzhou, Nanning, Haikou, Chongqing, Chengdu, Guiyang, Kunming, Xi 'an, Lanzhou, Yinchuan, Xining, Urumqi and Hohhot.
Four, the relationship between qualification certificate and practice certificate:
Persons who have obtained professional qualifications must apply for a practice certificate through their institutions before entering the securities-related institutions.
Five, teaching materials and counseling:
Every year, the Securities Industry Association compiles and publishes a set of five textbooks, namely basic courses and four specialized courses, which are the designated textbooks for the examination and must be purchased. Learning is based on self-study, because most of the exam content needs to be memorized by yourself.
6. How long does it take the average student to complete these five courses and pass the exam?
It depends on everyone's foundation. It usually takes four months from registration to examination, so it is no problem to finish these five books by yourself. The key is to have a reasonable study plan and study time allocation, be interested in learning and have a strong desire to take the exam.
Seven, through the examination, you can engage in the following work:
This can refer to Article 4 of the Measures for the Administration of Securities Practitioners' Qualifications. Obtaining a certificate is conducive to applying for various positions in securities-related institutions such as securities companies, fund companies, banks and investment companies.
8. How difficult are the exams? What does it have to do with future business?
Overall evaluation of the relative difficulty of each subject examination;
Securities trading: ★★★★;
Basic knowledge of securities: ★★★☆;
Securities investment fund: ★★★☆;
Securities investment analysis: ★★★☆;
Securities issuance and underwriting: ★★★★★★ ★.
Must have basic knowledge of securities. Through securities trading, you can engage in securities brokerage business, which is the traditional business of securities companies; Through securities issuance and underwriting, you can engage in investment banking business, which is an important source of profit for securities companies; Through the analysis of securities investment, after obtaining the qualification, it is necessary to meet the conditions of China nationality, university degree and more than two years of securities industry experience before obtaining the qualification of securities investment consulting. Through securities investment funds, you can engage in related work of fund management companies and bank fund departments.
From the perspective of securities companies, securities trading risks can be divided into two categories: securities proprietary business risks and securities economic business risks. Because the nature and characteristics of securities proprietary business and economic business are different, the reasons leading to risks are also different. But generally speaking, the risks of securities trading can be divided into four types according to the causes of risks.
legal risk
The so-called legal risk refers to the loss that a securities company may be punished by law if it violates national laws, administrative regulations and the provisions of the China Securities Regulatory Commission in its self-operated or economic business.
(2) Market risk
The so-called market risk refers to the unpredictable changes of many factors affecting the securities market, such as changes in political, economic and social environment, which may cause operating losses to securities companies. Securities qualification examination "Securities qualification examination knowledge: what types of securities qualification examination risks are there". This risk is determined by the basic characteristics of the securities market. The so-called high risk in the securities market mainly refers to market risk. Therefore, market risk is also called the basic risk of securities trading.
(3) Technical risks
The so-called technical risk refers to the loss caused by the technical failure of the electronic information system of the securities company, which leads to the failure of the securities company to carry out its business activities normally.
(4) operational risk
The so-called business risk refers to the business loss caused by poor management and illegal operation of securities companies.
In addition, the failure or damage of trading equipment caused by natural disasters or accidents may also cause losses to securities companies.