Certified Securities Compliance Professional

CSCP Examination Eligibility Requirements

The CSCP examination is the first step in achieving certification. To be eligible to sit for the CSCP examination, you must have earned a:

• US Baccalaureate degree (or foreign equivalent); or
• minimum of two (2) years experience in securities compliance.

Although not required, it is strongly recommended that you have professional experience in securities compliance; the CSCP examination assesses intermediate to advanced proficiency in securities compliance rather than entry-level skills. The testing industry has shown that those taking intermediate to mastery level examinations are more likely to pass with two or more years of experience in the associated field.

 

CSCP Credential Eligibility Requirements

Upon successful completion of the CSCP examination, one is noted as a CSCP candidate until the following eligibility requirements for the CSCP Credential, or program completion, are met:

 

Securities Compliance Experience

Securities compliance experience is defined as:

• Employment in the Compliance or Legal Department of a registered broker-dealer or with an investment adviser, whether registered with the SEC or a State regulatory authority, or exempt from such registration; or
• Employment in the Compliance or Legal Department of a financial services firm that has a registered broker-dealer or investment adviser affiliate, with substantial job responsibilities supporting the brokerage or advisory services of the firm; or
• Employment with the SEC, FINRA, IDA, or another securities regulator or self-regulatory organization; or
• Practice at a law, accounting, or consulting firm, with a substantial part of your practice consisting of providing advisory, consulting or litigation support to the securities (broker-dealer or investment advisory) business of your clients.

 

Eligibility Documentation

NSCP's Board of Governors reserves the right to verify information supplied by, or on behalf of, a candidate. Only if selected for an audit, will the candidate be asked to submit documentation substantiating eligibility.

Writing this certification examination is voluntary. NSCP strictly adheres to the eligibility requirements for certification. It is the responsibility of the applicant to comply with all procedures and deadlines in order to establish eligibility to take the examination. Individuals who have questions about their eligibility should contact:

Certification Department
NSCP
22 Kent Road
Cornwall Bridge, CT 06754
info@nscp.org

 

Completion of Program Requirements

Candidates who pass the CSCP examination must successfully fulfill all CSCP program requirements within three (3) years from their CSCP testing date. Examination results will expire for those candidates who have not met all program requirements within this three (3) year period and reexamination will be required.

 

Registration

Before completing the registration process, carefully review the eligibility information included in this handbook. It is the candidate's responsibility to ensure they are eligible for certification before applying to write the examination.

Assuming eligibility requirements have been met, applicants may complete the registration process electronically through Pearson VUE's website at www.pearsonvue.com/nscp or via telephone at 888-269-2219. At the time of the registration, you will be expected to:

You will need to secure the examination fee using a credit card (Visa, MasterCard, or American Express), or a debit card (Visa or MasterCard). Fees include writing the exam, the CSCP Credential Manager System, the credential application process, and the CSCP Certificate. NSCP membership has no bearing on the eligibility or cost of the CSCP program.

Virtual acknowledgement of the following statement must be made to successfully register, and sit for, the CSCP examination:

I attest that neither I, nor any organization controlled by myself, have ever been convicted of, pled guilty or no contest to, a misdemeanor or felony involving investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses.

Curriculum Accounts :
Candidates interested in the CSCP Program purchase a separate 12-month account to the CSCP Curriculum, through the CSCP website, and control their preparation strategy accordingly. The Curriculum fees:

• New Account $200
• Renewal of Existing Account $175

 

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